Regulatory Compliance Association Reviews

Social Media Marketing

Date: February 20, 2019
General Session: 12:00 PM ET to 1:30 PM ET
Location: Webcast (Free)

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Description

Use of social media has become common practice among advisers and their employees.  Moreover, millions of potential investors and clients use social media platforms to obtain information about companies and trends, including investments and investment advisers. By using social networking services, investment advisers can manage their brand, publicly demonstrate knowledge of market sectors, and recruit top new talent. To be successful, however, an adviser must navigate the various applicable regulatory regimes.

In this session we discuss:

  • How advertising rules under the Investment Advisers Act of 1940 limit uses of particular social networking forums, such as LinkedIn and Twitter;
  • Guidance issued by the SEC staff and insights from recent SEC enforcement cases;
  • Regulatory considerations beyond the Advisers Act with respect to social networking communications, including Regulation D and CFTC exemptions; and
  • The potential privacy issues related to social media, including the risks of discoverability in litigation, increased vulnerability to malware and other intrusions, and the potential inadvertent disclosure of sensitive information.

Learning Objectives:

  • Identify regulatory considerations for investment advisers using social media
  • Evaluate business risks associated with social media
  • Apply Rule 206(4)-1 of the Investment Advisers Act, the Advertising Rule, to electronic communications made via social media
  • Develop framework for social media policies and procedures and compliance

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Heather Traeger, JD, CCO & Compliance Counsel, Teacher Retirement System of Texas

Faculty:

Robert Shapiro, JD, VP & Corporate Counsel, Prudential Financial
David Fitzgerald, JD, GC & CCO, Gabelli & Company Investment Advisers
Robert Saperstein, JD, Sr. Managing Director, Global Head of Compliance, Sr. Counsel, Guggenheim Partners

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