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Compliance for Financial Services

The Advisor’s Guide to Social Media Compliance

In 2005, just five percent of American adults used at least one social media platform, according to the Pew Research Center. Today, that number is closer to 70 percent. We’re using Facebook, Twitter, LinkedIn, and other platforms more than ever—not only to connect with each other, but also to share content and stay informed. 

It’s no surprise, then, that social media has become an increasingly important marketing tool in the financial services industry. A study by Putnam Investments found that 85 percent of advisors are now using social media for business, and their efforts are leading to a median asset gain of $1.9 million each year. However, building a social media strategy that’s both effective and compliant can be a challenge for many organizations. Broker/dealers, firms, and advisors must comply with guidelines set out by the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC), which affects the information they can share in social interactions.

In this guide we’ll talk about:

  • Best practices for social media engagement in the financial industry

  • Actionable tips and advice for staying compliant and secure

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