Social Media Compliance For Financial Advisors
At SocialFinServ, we understand the compliance issues facing financial services firms as they traverse the social media landscape.
Financial Industry Regulatory Authority (FINRA) guidelines are intended to protect investors from false or misleading information as use of social media grows. These guidelines make it clear that financial-services firms need to have a policy on what their representatives are allowed and not allowed to do on social networking site.
SocialFinServ takes care of all that for you.
Our compliance software partner, ERADO, provides the best software in the market, and is an SSAE 16 Certified Business, adhering to the highest industry standards of compliance to all SEC, FINRA, FCA and other international regulations.
Any content not meeting language rules and requirements are immediately flagged for review with alert notification will be sent to designate personnel.
Compliance is at the core of our services and your success.