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Report calls out potential risks, including lack of qualifications or conflicts of interest, when using social media finfluencers
FINRA suggests firms carefully consider what, if any, processes they can use to limit or contain risks associated with leveraging social media
A 2021 FINRA targeted exam sweep first shone the spotlight on finfluencer social media programs and their attendant compliance risks
SEC and FINRA settlements offer the industry lessons learned as they cover a wide landscape of current compliance hot-buttons
The case carries implications for advisers who wish to share their market opinions via social media. 'Your entire audience should be very concerned'
The supervision of firms' social media influencers, generative AI, and the promotion of securities lending programs addressed in new report
FINRA charged B-D for utilizing 400 influencers that posted social media communications that "were not fair and balanced"
FINRA enforcement actions, exam sweep letters, SRO updates on sweeps and prior regulatory notices all serve as resources concerning influencers
The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen
Less than 2% of survey respondents permit the use of personal e-mail for business communications