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The importance of
      COMPLIANCE




1        www.linkedFA.com
Why Am I Here?




 2               www.linkedFA.com
What is Compliance?




 3                    www.linkedFA.com
What is Compliance?
                                          Whoa Man!
                                          Compliance
                                         sounds like a
                                          total drag!




 4                    www.linkedFA.com
Social Media vs. Compliance




     Social Media                          Compliance
     • Personal                            • Conform
     • True Voice                          • Pre-approval
     • Engagement        VS                • Obedience
     • Conversational                      • Accountability
     • Dynamic                             • Regulation




 5                      www.linkedFA.com
Social Media vs. Compliance




 6                  www.linkedFA.com
What is Compliance, Really?




     Compliance = Accountability


                                       Sarbanes
                                        Oxley

 7                  www.linkedFA.com
Social Media                       We’re so
                                  Disruptive!




 8             www.linkedFA.com
What is Compliance, Really?



Compliance is…
         • Brand Management
         • Reputation Management
         • Marketing
         • Public Relations
         • Customer Service
         • Damage Control
         • Accountability…

 9                  www.linkedFA.com
What is Compliance, Really?


Compliance is…

       Being true to your brand

                    BRAND!
                 GO


 10                 www.linkedFA.com
The Old Marketing Funnel




      Enterprise                       Public


                   Marketing/
                   Compliance




 11                 www.linkedFA.com
New Social Media Engagement




      Enterprise                       Public


                   Marketing/
                   Compliance




 12                 www.linkedFA.com
Oops!




 13     www.linkedFA.com
New Social Media Engagement




 14                www.linkedFA.com
Compliance Components




      There are 5 basic aspects to compliance

      • Documentation & retention
      • Content
      • Social Media Policy
      • Monitoring
      • Training



 15                    www.linkedFA.com
Solutions – Document Retention




         Are you regulated?




 16                 www.linkedFA.com
Solutions – Document Retention




 17                 www.linkedFA.com
Solutions – Content




  How’s your Social Media Policy?




 18                   www.linkedFA.com
Solutions – Content




 19                   www.linkedFA.com
Solutions – Content




      Do you have dedicated staff?




 20                   www.linkedFA.com
Solutions – Training




      Is your staff properly trained?




 21                    www.linkedFA.com
Solutions – Monitoring




         Is your staff listening?




 22                  www.linkedFA.com
Contact



 John Bishara
 CMO, linkedFA

 Email: JohnBishara@linkedFA.com
 Twitter @linkedFA
 Linkedin: http://www.linkedin.com/in/johnabishara


 www.linkedFA.com




 23                            www.linkedFA.com

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Linked fa gs-presentation-compliance

Notas del editor

  1. Talk about FINRA etc.
  2. Social Media policy