Redefining Communications Compliance for the Digital Age


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About This Course

As we rely increasingly on mobile apps, social media, and other digital channels to communicate, how are firms addressing the compliance challenges and opportunities these media offer? Learn with industry and FINRA experts about how to navigate the increasingly complex landscape of firm communications with the public. Panelists cover lessons learned from FINRA’s ”finfluencer” targeted examinations, recent enforcement activity around off-channel communications, and how practitioners are approaching chatbots and the metaverse.

This session will:

  • Discuss changes in how firms interact with clients including texting, mobile apps, and social media;
  • Address record keeping and supervision topics related to the recent SEC actions pertaining to off channel communications and FINRA’s targeted examination of social media influencers (“finfluencers”); and,
  • Explain how compliance officers and regulators can foster a culture of innovation in order to keep pace with new developments such as chat bots, the metaverse, and beyond.

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