ADOPT POLICY AND CONTROLS

TO MONITOR AND SUPERVISE

SOCIAL MEDIA COMMUNICATION

Most financial services regulatory guidelines require your organization to monitor its social media compliance efforts. Your corporate-owned social media accounts should
be supervised (or monitored) to ensure the content and communications maintain compliance.

Other risk areas to monitor include:

  • Cyber attacks

  • Inadvertent sharing of personal information

  • Embarrassing or inappropriate posts

  • False or misleading content

FINRA Notices
17-18, 11-39 and 10-06

• Monitor and supervise dynamic content that is used to engage in real-time interactive communications

• Firms can choose not to require approval prior to posting but should ensure that posts are fair, balanced, and not misleading

• Monitor and supervise third-party content

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