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FINRA Compliance - Communications With the Public
FINRA emphasized that all communications must be fair, balanced, and not misleading, noting that if a communication promotes the benefits of a high-risk or illiquid security, it should also explain the associated risks.
This includes:
- A digital communication policy that addresses all permitted and prohibited digital communication channels and features available to customers and associated persons
- A system to identify and address red flags raised as specified in the written communication policy
- Maintenance & supervision of books and records in accordance with SEC and FINRA rules for all approved digital communications (email, social media, marketing materials)
- Firm’s communications, regardless of the platform through which they are made, complying with content standards set forth by FINRA
- Fair and balanced presentation in marketing materials and retail communications
The LegalEase Solutions Advantage
LegalEase Solutions brings over 16 years of expertise in helping firms and compliance officers meet their compliance requirements. We ensure that your compliance programs are built to scale.
With the regulatory landscape swiftly evolving, we work with you as an active partner in shaping the efficiency of your communication strategy for emails, social media, presentations, marketing materials and retail communications.
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