This series on social media and compliance looks at what to expect from regulators, your company — and your own clients. Part one discusses the recent release of guidelines by regulators on using social media. In part two, read about a few firms that allow their advisors to use sites like Facebook and Twitter when they are reaching out to clients. In part 3, does it work with clients? In part 4, a cheif compliance officer discusses how his firm embraced social media.
May 28, 2012Leo Purcell, chief compliance officer, Richardson GMP Ltd. describes the steps his firm took to roll out social media services to its advisor team. He outlines which services advisors are allowed to use and why. He spoke with Fiona Collie at the TMX Broadcast Centre in Toronto.
Advisors talk about their hands-on experience using social media to deepen client relationships
Firms share insights on the steps they are taking to prepare their advisors to use social media for client communications, while steering clear of regulatory hurdles
Start your engines. With the regulatory landscape offering more guidance on the dos and don’ts of using social media, this may be the moment to get in the game
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The cease-trade order on all 11 ETFs from Emerge Canada Inc. represented the first time such an order had been placed on a family of…
