Exploring Social Media, Technology Trends and Their Impacts Wednesday, May 27 1:45 p.m. 3:00 p.m.
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1 Exploring Social Media, Technology Trends and Their Impacts Wednesday, May 27 1:45 p.m. 3:00 p.m. Topics: Understand how some broker-dealers have addressed the compliance and supervision considerations raised by the rapid adoption of social media and communications via mobile devices. Discuss challenges that occur when representatives use digital communications without approval. Implement recent guidance provided by regulators regarding testimonials and disclosure in space-limited communications. Understand key considerations in developing mobile applications. Consider ways firms and regulators seek to keep pace with the dynamic environment of digital communications. Speakers: Amy Sochard (moderator) Senior Director FINRA Advertising Regulation Mari Buechner President and Chief Executive Officer Coordinated Capital Securities, Inc. Melissa Callison Executive, Global Marketing and Corporate Affairs Compliance Bank of America Ted Newton Assistant Vice President MassMutual Financial Group 2015 Financial Industry Regulatory Authority, Inc. All rights reserved.
2 Exploring Social and Technology Trends and Their Impacts 2015 FINRA Annual Conference May 27, 2015 Washington, DC
3 Panelists Moderator: Amy Sochard, Senior Director, FINRA Advertising Regulation Panelists: Mari Buechner, President and Chief Executive Officer, Coordinated Capital Securities, Inc. Melissa Callison, Executive, Global Marketing and Corporate Affairs Compliance, Bank of America Ted Newton, Assistant Vice President, MassMutual Financial Group FINRA Annual Conference 2015 FINRA. All rights reserved. 1
4 Why use Social Media? Customer Access Customer Engagement Customer Assets FINRA Annual Conference 2015 FINRA. All rights reserved. 2
5 Return on Investment Monitoring and retaining is costly, how do firms evaluate a social media program? What are the greatest opportunities for firms in the social media space? What are the risks that would need to be managed? What metrics will be used to drive success? How does social media fit into your business model? FINRA Annual Conference 2015 FINRA. All rights reserved. 3
6 Social Evolution: Bank of America s Approach FINRA Annual Conference 2015 FINRA. All rights reserved. 4
7 Social Evolution: Coordinated Capital s Approach FINRA Annual Conference 2015 FINRA. All rights reserved. 5
8 Social Evolution: MassMutual s Approach FINRA Annual Conference 2015 FINRA. All rights reserved. 6
9 Recordkeeping FINRA Annual Conference 2015 FINRA. All rights reserved. 7
10 Supervisory Standards for Static Versus Interactive Retail Communications Static: must be approved prior to use by a registered principal, may be subject to a filing requirement Interactive: may be supervised flexibly in accordance with firm s written supervisory procedures, not subject to the filing requirements FINRA Annual Conference 2015 FINRA. All rights reserved. 8
11 Which Part is Interactive? FINRA Annual Conference 2015 FINRA. All rights reserved. 9
12 Unauthorized Posts What are firms responsibilities with respect to unauthorized content posted by individuals associated with the firm? How do firms monitor for these posts? What do firms monitor and why? FINRA Annual Conference 2015 FINRA. All rights reserved. 10
13 Policies and Procedures FINRA Annual Conference 2015 FINRA. All rights reserved. 11
14 Supervision and Review Train personnel on the difference between business and personal communications Methods of review frequency, depth, red flags How to find the problems What is reasonably designed to ensure compliance? Supervisory measures: certifications, random checks, searches Non-English communications FINRA Annual Conference 2015 FINRA. All rights reserved. 12
15 Adoption and Entanglement Definition Use of disclaimers Challenges in the hyperlinked world FINRA Annual Conference 2015 FINRA. All rights reserved. 13
16 Endorsements What is an endorsement on LinkedIn? FINRA rule requirements for testimonials Advisers Act prohibition FINRA Annual Conference 2015 FINRA. All rights reserved. 14
17 Third Party Engagement How are firms addressing engagement with third parties? SEC IM Guidance Update, March 2014: Guidance on the Testimonial Rule and Social Media FTC.com Disclosures: How to Make Effective Disclosures in Digital Advertising FINRA Regulatory Notice 08-27: Misleading Communications About Expertise FINRA Annual Conference 2015 FINRA. All rights reserved. 15
18 Disclosure Content may vary depending on the device or delivery medium chosen by the user Example: micro-blog content viewed on a desktop Advertising Regulation Conference 2014 FINRA. All rights reserved. 16
19 Disclosure Content may vary depending on the device or delivery medium chosen by the user Example: the same content viewed on a smartphone or as a text Advertising Regulation Conference 2014 FINRA. All rights reserved. 17
20 Disclosure Approaches Hyperlinks to disclosures More../less Prominence considerations FINRA Annual Conference 2015 FINRA. All rights reserved. 18
21 Questions and Answers
22 Exploring Social Media, Technology Trends and Their Impacts Wednesday, May 27 1:45 p.m. 3:00 p.m. Resources FINRA Regulatory Notices FINRA Regulatory Notice 12-29: SEC Approves New Rules Governing Communications With the Public (June 2012) FINRA Regulatory Notice 11-39: Social Media Websites and the Use of Personal Devices for Business Communications (August 2011) FINRA Regulatory Notice 10-06: Guidance on Blogs and Social Networking Web Sites (January 2010) FINRA Regulatory Notice 08-27: Misleading Communications About Expertise (May 2008) FINRA Regulatory Notice 07-59: Supervision of Electronic Communications; FINRA Provides Guidance Regarding the Review and Supervision of Electronic Communications (December 2007) SEC Guidance IM Guidance Update, March 2014, No : Guidance on the Testimonial Rule and Social Media IM Guidance Update, March 2013, No : Filing Requirements for Certain Electronic Communications Financial Industry Regulatory Authority, Inc. All rights reserved. 1
23 SEC Release Nos ; IC-28351, Commission Guidance on the Use of Company Web Sites (August 7, 2008) SEC Release No , Electronic Storage of Broker-Dealer Records (May 12, 2003) Federal Trade Commission (FTC) Guidance.com Disclosures, How to Make Effective Disclosures in Digital Advertising (March 2013) Federal Financial Institutions Examination Council (FFIEC) Social Media: Consumer Compliance Risk Management Guidance Notice; Final Guidance (December 2013) press%20release.pdf United Kingdom, Financial Conduct Authority (FCA) Finalised Guidance FG15/4: Social media and customer communications, the FCA s supervisory approach to financial promotions in social media (March 2015) Financial Industry Regulatory Authority, Inc. All rights reserved. 2
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