Implementing Compliance Practices for Social Media

I was in the audience for FINRA’s latest educational Program: Implementing Compliance Practices for Social Media. This program addressed implementation of new guidance that FINRA recently issued in Regulatory Notice 10-06, concerning social media. Resources and Supplementary Material (.pdf) Slide deck (.pdf) These are my notes, live from the program (& riddled with typos): Introduction … Read more »

Boston Bar Association Presentation on Web 2.0

Martha Sperry of Advocate’s Studio asked me to join her in a presentation to the Boston Bar Association’s Computer & Internet Law Committee titled: Beyond LinkedIn: Advanced Social Media for Lawyers. Martha Sperry, OneBeacon Insurance Group Ltd., and Doug Cornelius will lead a brown-bag lunch discussion for lawyers who are familiar with the various forms … Read more »

Social Networking Compliance

Think Before You Tweet! What are the challenges for broker/dealers and investment advisers trying to use social networking sites? Complinet hosted a webinar on this topic with Clifford Kirsch from Sutherland Asbill & Brennan LLP and Debbie Corej, Vice President, Compliance – Insurance Division, Prudential. Clifford started the discussion by pointing out the need to … Read more »

Facebook, Twitter, LinkedIn and Compliance: What Are Companies Doing?

The Society of Corporate Compliance and Ethics and the Health Care Compliance Association conducted a survey among compliance and ethics professionals in late August 2009 to see what employers are doing about the use of these sites by their employees. They got back almost 800 responses from their members using an online survey tool. 50% … Read more »

Compliance and Recommendations on Social Networking Sites

I am an enthusiast of social networking sites and web 2.0. But I realize they have limitations and dangers. I have been very concerned about the Recommendations feature in LinkedIn. That feature allows any of your connections on LinkedIn to post a recommendation or endorsement about you that appears on your profile page. At first, … Read more »