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

12 December 2013 New York, NY Past Event

Location

Foley & Lardner LLP
90 Park Avenue
New York, NY 10016

Contact Information

Diana Fernandes
dfernandes@foley.com

Agenda

5:30 p.m. Registration
6:00 p.m. Opening Remarks
6:05 p.m. Speaker Presentations and Q&A
7:00 p.m. Closing Remarks
7:05 p.m. Networking
Foley is proud to sponsor the Broker/Dealer, Investment Advisers Compliance Officers LinkedIn Group’s networking event surrounding social media compliance. The recent FINRA case of a broker fined and suspended for violating its social media policy underscores the importance of knowing the rules and what's allowed. In this one-hour conversation with Foley Partner Stuart Fross and Jennifer Openshaw of Finect, we will address:
  • 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.

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

Location

Foley & Lardner LLP
90 Park Avenue
New York, NY 10016

Contact Information

Diana Fernandes
dfernandes@foley.com

Agenda

5:30 p.m. Registration
6:00 p.m. Opening Remarks
6:05 p.m. Speaker Presentations and Q&A
7:00 p.m. Closing Remarks
7:05 p.m. Networking