Social Media Compliance for Broker/Dealer and Investment Advisers Compliance Officers

• Planning for regulators – versus failing to plan


• The top issues compliance officers and marketers should address to use social media


• Challenges with LinkedIn, other social platforms to engaging clients, prospects


• Client comments on advisor blog site


• Elements of a good social media policy (template provided)


• Best practices in using social media for advisors and compliance officers


• Strategies and tools for saving time with a unified and compliant approach to social media

Featured Speakers

• Stuart Fross, Partner, Foley & Lardner LLP; former General Counsel Fidelity International, General Counsel/Head of Global Compliance


• Jennifer Openshaw, President of Finect; Columnist for the Wall Street Journal’s MarketWatch; Founder of Women’s Financial Network

The event is targeted to broker dealers, investment advisors, hedge funds, PE, financial planners, bankers, securities attorneys, consultants and investment managers. The Broker/Dealer, Investment Advisers Compliance Officers LinkedIn Group is one of the largest non-profit social media networks for compliance and legal professionals online. The group consists primarily of securities attorneys and compliance officers from broker/dealer FINRA member firms as well as SEC registered and non-registered investment advisers. The member base also includes consulting professionals who specialize in compliance, legal, and regulatory IT vendor services as well as current and former regulators.

General registration is $100 but use promotional code “Foley2013BDIA” to register for free as a guest of Foley & Lardner LLP. Space is limited so register today to reserve your place.