FINRA and the SEC govern marketing communications and advertising practices when communicating with the public. These regulations put broker-dealers squarely in the spotlight of various risks and responsibilities. So how can you mitigate these threats and better manage the process?
Learn how to solve for complex social compliance pain points with ease. Proofpoint’s Social Media Compliance solution helps firms and their advisers to engage with customers on social media in a compliant way. Join this demo and listen to product expert Coleem Chestnut, Sr. Integration Engineer, who will demonstrate how our solution:
- Finds accounts associated with your firm, including rogue adviser accounts
- Automates reviews and approvals of social profiles
- Supervises social media activity in real time and notifies you of compliance violations
- Removes non-compliant social media content
- Provides detailed reporting and proof of compliance
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