Regulatory Compliance Hosted Webinars

WEBCAST: Marketing in Today's Device-Driven World (BD/RIA)

Thursday, August 27, 2015 

Communicating with clients and prospects today isn’t what it used to be. There are many more ways to get your message across than there were just ten years ago – and many of those can be drafted and sent on the fly. With the proliferation of electronic communication channels, broker-dealers and investment advisers must be extra cautious to ensure compliance with regulatory requirements, many of which were originally enacted to govern paper and audio advertisements. This webinar will focus on applying existing regulations to the newest forms of communications, with emphasis on how to stay compliant when marketing your firm’s services across electronic media.

Topics include:

  • Developing and implementing effective supervisory procedures over electronic communications
  • Managing compliance over various types of social media (email, text, twitter, LinkedIn, etc.)
  • Static versus active communications
  • Capturing, retaining and reviewing instant messaging
  • Blogs: informational or an advertisement?


Disclaimer: This webinar is the sole property of Regulatory Compliance, LLC, and the information provided is for informational and educational purposes only. The content of the webinar does not constitute any regulatory rules or amendment or interpretation to such rules.  Compliance with any recommended conduct presented does not mean that a firm or person has complied with the full extent of their obligations under FINRA, NFA, SEC or the rules of any other SRO, or futures laws. This webinar is provided "as is". Regulatory Compliance, LLC and its affiliates are not responsible for any human or mechanical errors or omissions. Parties may not reproduce these videos in any form, nor reference them in any publication, without the express written consent of Regulatory Compliance, LLC.