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Social Media in a Regulated Environment (for Financial Services)

Date: 07-Mar-12 to 07-Mar-12
Location: OnlineWebinar / California / United States
Category: Banking, Finance & Investment Technology

This FINRA regulation based training will discuss how to create social media policies and implement for compliance and enforcement to avoid fines and disciplinary action for regulated companies. It will also discuss FINRA Notice 10-06 (issued Jan 2010), FINRA Notice 11-39 (issued August 2011), and SEC guidance (issued January 2012).
Social Networking is considered by FINRA to be "communicating with the public", and as such, subject to rigorous rules, regulations, and procedures, that if not followed can lead to fines and disciplinary action to both the Registered Representative (RR) and their parent Broker-Dealer firm. The seminar will summarize recent FINRA fines, penalties, and suspensions for non-compliant social media activity.
reas Covered in the Seminar:

* How to Create an Action Plan.
* How to Establish Social Media Policies.
* How to Conduct Corporate Education.
* How to Develop Policies and Procedures for Implementation, Compliance, Enforcement.
* How to Benchmark against "Best Practices".
* How to Separate and segregate Personal and Professional Social Networks.

Visitors

* Advertising Departments
* Sales and Marketing Staff
* Compliance Professionals
* Legal Departments
* Operations and IT staff
* Registered Representatives (RRs)
* Senior Management

Exhibitors

At ComplianceOnline, we are focused on :
Enhancing global compliance, creating a world where quality and compliance professionals, regulators,and government agencies come together to help the world comply with the intent and the spirit of laws, policies and mandates, ensuring continuous improvement in global operations, quality & safety.
Making sure that we are responsible corporate citizens helping our constituents build a more responsible enterprise, one which operates with high quality , under a code of ethics, and with process discipline to ensure greater shareholder returns.
Keeping things simple and straight forward , so that we all can indeed improve the quality of our processes, our work, our businesses and enhance compliance globally.
Being inclusive, giving the process experts ( & novices! ), compliance professionals, quality champions, and regulatory agencies a voice so that all of us can contribute and make a difference.

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