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Social Media Compliance Guidelines

 

Overview

This course will help advisors ensure that the social media tools used to reach clients are carried out in a manner that is compliant with existing rules and regulations. 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.

Who should enroll?

  • Investment Advisors
  • Financial Planners
  • Wealth Managers
  • It is recommended for individuals who are subject to CE compliance requirements