Likes. Endorsements. Testimonials. Firm pages and employee pages. Many advisers are still struggling to understand the SEC’s patchwork of guidance on using social media. How can you use this medium effectively to reach clients and prospective clients, without running afoul of the Advisers Act and the Advertising Rules?
Ascendant cuts through the regulatory speak and provides some practical do’s and don’ts you can consider using to manage and monitor your firm’s use of social media.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- SEC and FINRA 2019 Examination Priorities
- Highlights of 2018: Predictions for 2019
- Compliance Considerations for Dual Registrants
Recent ComplianceCast™ Minutes