Social Media E-Commerce Policy
If you do Social Media... do you have a Social Media Policy?
Social media has crossed over into the business realm, creating compliance concerns.
This is the latest regulatory hot button for both Registered Investment Advisors and
As reported in a recent Reuters article:
"...Not having a social media policy in place - even one prohibiting the use of
social media - was the most common violation of industry regulations, according to
Amy Sochard, director of advertising regulation at FINRA."
The 3 main challenges to address are:
- advertising rules and standards of communications with the public;
- supervision (approval and monitoring); and
Do you have the most current E-Commerce policies in your in your Policies & Procedures?
- Internet (website)
- Blogs and Social Media
The complete E-Commerce Policy is delivered in WORD electronically for your easy
The E-Commerce Policy is available here as a stand-alone document or included in the RIA
Policies & Procedures and Code of Ethics.
Procedures for RIAs
This user-friendly tool provides sample provisions that you can customize to
your own individual operating procedures and practices - while keeping you
in compliance with the regulatory requirements.
Your finished product gives you an easy-to-follow policies and procedures
manual to help you stay in compliance.
here to find out more.