Modernizing Off-Channel Communications Supervision

SKU: SEC073

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About This Course

Join panelists as they discuss observations from thematic reviews of off-channel communications such as text and social media platforms and effective techniques firms are using to provide oversight of their firms’ communications.

This session will discuss:

  • Communications Landscape
  • Rule Requirements--Books and Records, Communications with the Public, and Supervision
  • SEC and FINRA Enforcement Actions
  • Observations from Thematic Reviews of Off-Channel Communications
  • OSE-Facilitated Communications Roundtables
  • Best practices

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