All Registered Investments Advisory firms are required to preserve all SEC or state-mandated business records and follow general recordkeeping and supervision requirements. How well are you following the regulations set forth by the SEC and State in regards to recordkeeping and supervision? How do you define an advertisement, and what are the guidelines on using social media?
Join Chad Hartwick, a former Securities Examination Manager for the State of Michigan and Mike Pagani, Chief Evangelist at Smarsh for information and guidance on the current state of the regulatory landscape as it relates to advertising and social media. During this webinar you'll learn:
• Current recordkeeping mandates
• The 5 tenants of advertising and how social media fits in
• Policies and procedures you need to have in place
• The role of social media today and upcoming trends
• How to stay ahead of digital marketing trends and stay compliant