6d. BD – Social Media – Compliance Best Practices


Use of social media continues to gain popularity as firms market their business, financial professionals establish professional networks, and investors capture investment ideas. This session will delve into the use of social media within regulatory boundaries, and identify issues surrounding the recent phenomenon of activist investors using social media and trading forums to hype particular securities. The panelists will provide guidance and review key considerations in creating and managing policies and procedures surrounding the use of social media. This session will also help compliance professionals address potential issues related to unanticipated trading activity resulting activist investors’ use of social media and trading forums.
Learning Objectives:
• Understand the importance of assessing how your firm intends to use social media and permitting the use of social media in a compliant manner
• Evaluate the importance of maintaining clear procedures and training for using social media platforms
• Examine regulatory overview and best practices for avoiding potential regulatory pitfalls
• Understand the influence of social media on retail investors and the potential issues which may arise
• Discuss the importance of maintaining “living” procedures that evolve with both the ever-changing social media landscape and your firm’s social media initiatives

Sponsored by

Intermediate                        Program Level: Panel Date: November 9, 2021 Time: 11:30 am - 12:30 pm Elin Cherry William (Bill) Hayden Max Schatzow

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