Financial firms are increasingly turning to social media to communicate with customers and market their products and services.

To protect investors from fraud and misrepresentation, the U.S. SEC and FINRA require firms to retain and supervise their social media communications, among other eComms data.

Many firms continue to fall exceedingly short of this mandate, triggering the growing number of regulatory enforcement actions against violators.

Join Chip Jones and Donald McElligott, Global Relay’s Executive VP-Compliance and VP-Compliance Supervision respectively, as they outline the regulations governing social media data and share strategies to effectively supervise it.

Topics they cover include:

  • SEC & FINRA Rules governing social media retention & supervision
  • Enforcement actions for failing to preserve social media data
  • Compliance & policy refinement strategies for social media platforms
  • How social media archiving & supervision works (with product demo)
 

 
Featured Speakers
 

Chip Jones

 

Chip Jones
Executive Vice President, Compliance
Global Relay

 

Donald McElligott

 

Donald McElligott
Vice President, Compliance Supervision
Global Relay

 

 

 
Resources
 

 


 

If you wish to learn more about our social media compliance solution, please email info@globalrelay.net 
or call 866-484-6630. We can book a 1:1 call / demo with you.

 


 

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Global Relay is the leading provider of cloud-based electronic message archiving, supervision, and eDiscovery solutions for the global financial sector and other highly regulated industries. Global Relay delivers services to over 20,000 customers in 90 countries, including 22 of the top 25 banks. Global Relay Archive supports email, IM, Bloomberg®, Refinitiv, social media, mobile messaging, and more - with mobile, Outlook, and web access.