Social Media

A peer shares an example of a compliance policy and procedure for off-channel communications

The number of SEC-registered investment advisers climbed to an all-time record high in 2022--a 2.1% increase over the prior year

FINRA provides practices firms may want to consider when evaluating their social media influencer programs and privacy obligations

The route most advisers would take to limit avenues of business communications would be via their compliance P&Ps



The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...

Jacko recommends P&Ps “have a list of do’s and don’ts,” especially around “some of the hardest areas we might have to tackle”

Jacko recommends that you develop a compliance P&P specific to your firm’s use of social media that exists outside of your larger advertising P&Ps and ...

The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...

MML Investor Services will pay $4.75 million to settle claims that it failed to supervise an employee who played a pivotal roll in the meme ...