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Social networking and compliance 05 13-10 final

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Deborah Well
Deborah Well

Presentation from May 13, 2010 webinar, hosted by NRS, on Social Networking: Compliance Challanges for AIs and BDs. Presented by

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Social Networking Compliance Challenges for IAs and BDs May 13, 2010 Group – Internet Based 1:00 p.m. – 3:00 p.m. (ET) © 2005-2010 National Regulatory Services
Agenda ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 2
Polling Question ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 3
The Current Background Where we are today and where we are heading May 13, 2010 © 2005-2010 National Regulatory Services 4
The Main Players for our Industry ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 5
An Overview of Top Sites ,[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 6
LinkedIn – The Latest ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 7
An Overview of Top Sites ,[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 8
Facebook – The Latest ,[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 9
An Overview of Top Sites ,[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 10
Where is Social Networking Going? ,[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 11
Polling Question ,[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 12
Regulatory Considerations - BDs ,[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 13
Regulatory Considerations - IAs ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 14
Regulatory Considerations - IAs ,[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 15
Regulatory Considerations - IAs ,[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 16
Regulatory Considerations - IAs ,[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 17
Regulatory Considerations - IAs ,[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 18
Regulatory Considerations ,[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 19
Regulatory Considerations ,[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 20
Risk Assessment and Writing a Policy What does this mean for your firm? May 13, 2010 © 2005-2010 National Regulatory Services 21
Polling question ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 22
Risk Assessment – General Issues ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 23
Some Specific Risks to Consider ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 24
Some Specific Risks to Consider ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 25
Creating a Policy ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 26
Sample Policy ,[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 27
Procedural Considerations ,[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 28
Implementing the Policy ,[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 29
Setting up Training and Monitoring Who is talking about you? What are they saying? And how can you listen in? May 13, 2010 © 2005-2010 National Regulatory Services 30
Polling Question ,[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 31
Training and Education ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 32
Monitoring ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 33
Monitoring ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 34
Additional Testing ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 35
Resource Assessment and Strategy What do you need to account for before you make the decision to create a Social Media Strategy? And where do you implement it? May 13, 2010 © 2005-2010 National Regulatory Services 36
Polling Question ,[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 37
Resources Needed ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 38
Which Ones to Choose? ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 39
Rollout and Maintenance Best practices to implement a strategy – and what you need to think about after launch May 13, 2010 © 2005-2010 National Regulatory Services 40
Option One - Start Small ,[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 41
Option Two – Launch Big ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 42
Keep an Eye Out ,[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 43
Additional Information Helpful links to more resources on the topic May 13, 2010 © 2005-2010 National Regulatory Services 44
Regulatory Resources ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 45
Policy Links ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 46
Useful Links ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 47
Monitoring Softwares ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 48
Interesting Presentations/Articles ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 49
Examples of Conversations going Viral ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 50
Questions ? May 13, 2010 © 2005-2010 National Regulatory Services 51
Presenter ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 52
Presenter ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 53
Continuing Education ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],May 13, 2010 © 2005-2010 National Regulatory Services 54
Upcoming NRS Education Trading – Best Execution, Soft Dollars and Directed Brokerage May 18, 2010 1:00 p.m. – 3:00 pm. (ET) Anti-Money Laundering Risk Management May 20, 2010 1:00 p.m. – 3:00 pm. (ET) Disclosure: Form ADV Part 1 and Regulatory Reporting June 8, 2010 1:00 p.m. – 3:00 pm. (ET) Disclosure: Form ADV Part II and Identifying and Disclosing Conflicts of Interest June 10, 2010 1:00 p.m. – 3:00 pm. (ET) Investment Adviser Regulatory Update June 15, 2010 1:00 p.m. – 3:00 pm. (ET) Disclosure: Investment Adviser Performance and Advertising June 17, 2010 1:00 p.m. – 3:00 pm. (ET) Visit the NRS Education Web site to view the 2010 Education Calendars and learn more about NRS education options © 2005-2010 National Regulatory Services

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Social networking and compliance 05 13-10 final

  • 1. Social Networking Compliance Challenges for IAs and BDs May 13, 2010 Group – Internet Based 1:00 p.m. – 3:00 p.m. (ET) © 2005-2010 National Regulatory Services
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  • 4. The Current Background Where we are today and where we are heading May 13, 2010 © 2005-2010 National Regulatory Services 4
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  • 21. Risk Assessment and Writing a Policy What does this mean for your firm? May 13, 2010 © 2005-2010 National Regulatory Services 21
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  • 30. Setting up Training and Monitoring Who is talking about you? What are they saying? And how can you listen in? May 13, 2010 © 2005-2010 National Regulatory Services 30
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  • 36. Resource Assessment and Strategy What do you need to account for before you make the decision to create a Social Media Strategy? And where do you implement it? May 13, 2010 © 2005-2010 National Regulatory Services 36
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  • 40. Rollout and Maintenance Best practices to implement a strategy – and what you need to think about after launch May 13, 2010 © 2005-2010 National Regulatory Services 40
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  • 44. Additional Information Helpful links to more resources on the topic May 13, 2010 © 2005-2010 National Regulatory Services 44
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  • 51. Questions ? May 13, 2010 © 2005-2010 National Regulatory Services 51
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  • 55. Upcoming NRS Education Trading – Best Execution, Soft Dollars and Directed Brokerage May 18, 2010 1:00 p.m. – 3:00 pm. (ET) Anti-Money Laundering Risk Management May 20, 2010 1:00 p.m. – 3:00 pm. (ET) Disclosure: Form ADV Part 1 and Regulatory Reporting June 8, 2010 1:00 p.m. – 3:00 pm. (ET) Disclosure: Form ADV Part II and Identifying and Disclosing Conflicts of Interest June 10, 2010 1:00 p.m. – 3:00 pm. (ET) Investment Adviser Regulatory Update June 15, 2010 1:00 p.m. – 3:00 pm. (ET) Disclosure: Investment Adviser Performance and Advertising June 17, 2010 1:00 p.m. – 3:00 pm. (ET) Visit the NRS Education Web site to view the 2010 Education Calendars and learn more about NRS education options © 2005-2010 National Regulatory Services