FPA of Maryland Webinar to Address Compliance Issues of Social Media

Despite FINRA’s issuance of social media regulatory guidance, advisors still have many questions about what can and cannot be done on social media websites.

I’ll be presenting a webinar to the Financial Planning Association of Maryland to address the compliance issues of using social media and networking websites.

I’ll be joined by Adam Schaub, CFP®, Compliance Manager for 1st Global in Dallas, TX. Topics covered will include:

  • Documentation of policies and procedures
  • Summary of regulatory guidance
  • Supervision and record retention
  • Overview of compliance tools and utilities

The webinar will be held on Thursday, April 1, 12:00PM EDT. FPA of Maryland members can attend for $20, all others can attend for $30.

Click here for the event PDF brochure. |  Click here to register.

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