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Social Media for Financial Services: New and Expected FINRA Guidance

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Product Id : 700613
Instructor: Jake Wengroff

  Duration: 60 Minutes  



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Overview: Financial services firms and even individual financial services professionals remain curious about what is considered acceptable practice regarding communications with the public via social media. Though social media has proven to be a tremendous marketing channel to present capabilities and find new clients, FINRA continues to issue guidance on recordkeeping, suitability, supervision, and content requirements for such communications. This webinar will provide an update on current guidance, and offer suggestions on how to remain compliant while still harnessing the marketing power of social networks.

Why should you attend: Financial advisors and firms are still nervous about utilizing social media to market themselves and disseminate information, for fear of running afoul of FINRA and other governing bodies. Tighter scrutiny is expected in the coming years as more business is conducted via social networks and mobile apps; advisors and their firms need to anticipate and prepare for any technology requirements or changes to their practices.

Areas Covered in the Session:
  • Social media websites and the information they capture
  • Data storage
  • Profiles
  • Messaging
  • Document sharing
  • Responding to inquiries
  • Prospecting via social media
  • Compliance platforms

Who Will Benefit:
  • Social Media Managers
  • Financial Advisors
  • Administrators at Financial Services Firms
  • Financial Services Firm Principals
  • Financial Software Developers
Jake Wengroff Jake Wengroff is a marketing, media, and training professional with over 17 years of experience in vendor evaluation, change management, marketing strategy, and training course design. Previously the global director of social media strategy and research for consulting firm Frost & Sullivan, Jake works with clients in the technology, publishing, and professional services markets. He is a regular contributor to InformationWeek, CMO.com, Social Media Today, and other publications, and has served as chairman of GSMI's Social Media Strategies Summit. Earlier in his career, Jake managed marketing programs for such clients as Paribas, DLJdirect, Chase Manhattan Bank, Bear Stearns, Pitney Bowes, PricewaterhouseCoopers, ABI Research, the American Marketing Association, and Moody's KMV. Jake was named Trainer of the Year for Kaplan/Washington Post, having trained over 300 instructors. He is regularly quoted in such publications as Reuters, Bloomberg, Time, and Forbes, and holds a B.A. from Brandeis University and an M.B.A. and M.S. from University of Miami.

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