Compliance Kit

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Q&A on Compliance with Stuart Fross

Fross’ Career in Compliance: From Fidelity to Finect (2:09)

The former General Counsel at Fidelity International, now a partner at K&L Gates, discusses his work with firms, small and large.

When Are You an “Investment Advisor”? (1:56)

Learn about the key criteria for meeting the definition of an advisor. ( )

Can Social Media Use Make Me an Advisor? (2:16)

Understand how social media may impact your work as an advisor, such as advertising rules and third party content, and the importance of policies. ( )

Key Social Media Decisions (2:31)

It’s easier than you think, but here are the key steps advisors and others need to follow to remain in compliance, including archiving and reviewing postings. ( )

Three Things Compliance Officers Should Know (1:33)

Discusses setting roles and permissions for employee use of social media and even “scrubbing” bad posts after-the-fact. Having good supervision is a defense if needed.

Social Media: The New Email (2:15)

The innovation in social media is not unlike email, when many said “no” to its use. The key for CCOs? A content review and management process, made easy online.

Potholes on the Social Media Highway (2:25)

Social media leads to more communication that needs to be recorded, but Finect can help CCOs.

Recordkeeping For Social Media (2:02)

Recordkeeping includes correspondence, company documents, and performance, as well as periodic testing to ensure records are still in existence. ( )

Advertising Rules in a Social Media World (4:46)

Blogs and online discussions matter in compliance. Fross discusses advertising and testimonial do’s and don’ts in detail, including charts, rankings and third-party links. ( )

CCO Responsibilities with Social Media? (3:17)

Fross sheds light on the key elements of a CCO’s social media policy and points out that a “reasonably designed” policy affords a defense ( )

Social Media and Investor Protection (3:11)

What are the investor protection issues regulators have in mind when it comes to social media? Fross discusses fiduciary duties, misleading communications and more. ( )

Dodd-Frank & JOBS Act Impacts (2:22)

A renewed focus on transparency and enforcement coupled with the ability to now market private placements publicly. ( )

Using Finect (1:10)

Fross encourages CCOs to review the Terms of Use and try Finect. The compliance kit details how Finect’s features help CCOs and their firms. ( )

Tracking Performance in Social Media (2:22)

While issues such as past performance and lookback rules may raise issues, Fross points out that advisors and professionals can indeed communicate within the rules. Social media – coupled with Finect’s features – can help consolidate approvals and archiving.

Key Advisor Needs in Social Media (2:19)

Simple moves such as disclosing policies, posting an ADV, supervising staff, and monitoring posts make the social media highway possible for professionals.

Operating an Online Group (4:37)

Considering a private or public group for customers, prospects, peers or employees? Here are the rules to follow. View the Compliance Kit to see how Finect’s features enable compliance. ( )

Additional Resources for Advisors (0:49)

Tutorials on Compliance

How to set role permissions in Finect
How to track employees, archive data, and manage social media in Finect

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Mon Aug 11 17:40:35 CEST 2014