Advertising, marketing, and social media continue to be areas of regulatory focus. This course will help investment professionals understand regulatory expectations and ensure that social media tools are used in a manner that is compliant with existing rules and regulations when reaching out to clients. Rapid change of technology has led to changes to regulation and compliance as the investment industry and its regulators embrace these changes in an effort to support registrants who are seeking new and innovative ways to interact with and service clients.
Upon completion of the course, you will gain a solid understanding of applicable marketing and advertising rules, including effective social media use in the context of existing industry rules and regulations, as well as other issues and considerations for supervision and compliance.
Enrol if you are: