NRS 29th Annual Spring Compliance Conference: Update on Social Media Compliance

May 14, 2014

Topics for this presentation included:

Social Media Basics

  • What is Social Media?
  • Why do people care about it?
  • How are firms using it?

Regulatory Landscape

  • Regulatory Guidance
  • IA and BD Regulatory Considerations
  • Other Legal Considerations

Implementing a Social Media Compliance Program

  • Policies and Procedures
  • Training and Education
  • Monitoring and Testing

Jennifer L. Klass, Morgan Lewis
John Gebauer, NRS

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