Modernizing Off-Channel Communications Supervision

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Rhode Island MCLE
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United Institute for Continuing Legal Education is a provider of accredited CLE courses throughout the country. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Join our panelists as they share insights from thematic reviews of off-channel communications, including text messages and social media platforms. Discover effective techniques firms are using to oversee their communications.

This session will cover:

  • The communications landscape
  • Rule requirements for books and records, public communications, and supervision
  • SEC and FINRA enforcement actions
  • Observations from reviews of off-channel communications
  • OSE-facilitated communications roundtables
  • Best practices
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