Redefining Communications Compliance for the Digital Age

SKU: SEC060

New Jersey CLE
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About This Course

Join us in exploring how firms are tackling the compliance challenges and leveraging the opportunities presented by the growing reliance on mobile apps, social media, and other digital channels for communication. In this enlightening session, industry experts and representatives from FINRA will provide valuable insights on navigating the intricate landscape of firm communications with the public.

The panelists will delve into a range of important topics, including lessons learned from FINRA's targeted examinations of "finfluencers" in the industry, recent enforcement actions concerning off-channel communications, and the strategies adopted by practitioners when dealing with chatbots and the metaverse.

This CLE program aims to:

Discuss the evolving methods of client interaction, encompassing texting, mobile apps, and social media platforms.
Address record-keeping and supervision considerations in light of recent SEC actions related to off-channel communications and FINRA's targeted examination of social media influencers, commonly known as "finfluencers."
Explain how compliance officers and regulators can foster an environment of innovation to keep pace with emerging advancements, such as chatbots, the metaverse, and beyond.

Lecturer Bios

Amy C. Sochard

Amy C. Sochard is the Senior Director in FINRA’s Advertising Regulation Department. The department protects investors by ensuring broker-dealer members of FINRA use advertisements and other sales communications that are fair, balanced and not misleading. Ms. Sochard leads the department’s investigative and targeted examination activities. She also serves as liaison to other FINRA departments involved in examinations, including the departments of Enforcement and Member Regulation.

In addition, Ms. Sochard oversees staff dedicated to the routine review of advertisements and other sales communications filed with the department by broker-dealers. Ms. Sochard assists in the development of rules and interpretations for communications with the public and social media, and she routinely speaks at industry events on these topics. Prior to joining FINRA’s predecessor (NASD),

Ms. Sochard worked with a real estate syndication firm in Washington, DC. She received a bachelor’s degree with distinction in English from the University of Virginia and studied poetry writing at Columbia University.

Robert Chao

Robert Chao is Senior Director, FINRA Member Supervision. He is responsible for firms in the Retail-Fintech and Retail-Carrying and Clearing groups. Mr. Chao is currently on the Correspondent Clearing committee, eFocus Redesign committee, and the Behavioral Science Working Group within FINRA.

He was formerly a Surveillance Director and an Examination Director and has been at FINRA since 2009. Mr. Chao joined FINRA from UBS Financial Services, Inc., where he worked from 2007 to 2009, serving as a Director responsible for financial and regulatory reporting.

Prior to joining UBS, he was a Vice President in the Finance group at J.P. Morgan Securities Inc. He was with the NYSE from 1994 to 1997 as an Examiner in Member Firm Regulation. Mr. Chao received his Bachelor of Science in Finance at New York University and was previously a registered principal holding series 7, 9/10, and 27 licenses.

Lule Demmissie Esq.

Lule Demmissie is the US CEO of eToro, the world’s largest social investing network that empowers people to grow their knowledge and wealth as part of a global community of investors. eToro US offers individual investors easy access to investment instruments ranging from stocks to crypto, innovations like CopyTrader and more to come. Lule joined the company in September 2021, overseeing the company’s expansion and investment within the US, operational infrastructure, marketing, investment thought leadership, corporate governance, compliance, and its regulatory affairs & risk management. Lule previously served as the President of Ally Invest overseeing the business’ P&L and growth strategy. She also led the products and services delivered to Ally Invest’s all-digital client base, shaping the end-to-end client experience. Additionally, Lule served as the Managing Director of Investment Products & Digital Guidance at TD Ameritrade where she led the development and launch of financial guidance services, tools and products for long-term oriented retail investors. Lule has also worked for leading investment firms such as Morgan Stanley, J.P. Morgan, and Merrill Lynch.

Lule Demmissie is a unicorn in the retail investing and wealth sector. As a financial executive with a range of intersectional identities, a woman of color and a member of the LGBTQ+ community, she has a perspective that is much needed (and not often represented) in the area of fintech innovation, and gives voice to financial challenges facing a variety of communities.

As a leader, Lule is committed to cultivating a culture with diverse perspectives and talents. She has been sighted by many industry publications as a formidable leader in fintech. She was the recipient of a coveted TD Ameritrade Impact Award, a coveted annual award for leaders paving the way in building, developing and retaining a diverse group of associates — while continuing to foster a culture where all associates feel valued, included and challenged.

Lule holds a B.A. in Economics from Smith College, an M.B.A from Columbia Business School, a CIMA designation from the Investments & Wealth Institute (formerly IMCA) and the 7, 66 and 24 securities licenses.

Kristi Crawford Esq.

Kristi Crawford leads the Marketing, Advertising, and Brand Protection practice group at Charles Schwab, where she is responsible for legal support of Schwab and TD Ameritrade’s marketing organizations, including advertising, social media, client acquisition, public relations, and the corporation’s trademark and copyright portfolio and enforcement strategy.

Before joining Schwab in 2010, Kristi was an attorney with the Inspections & Compliance Division of the Texas State Securities Board. She is also currently a member of FINRA’s Public Communications Committee.

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Redefining Communications Compliance for the Digital Age

New Jersey CLEAccreditation Info

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About This Course

This CLE program aims to:

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