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RegEd Social Media Basics Webinar Series - the social media policy

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Blane Warrene
Blane Warrene

The document discusses best practices for developing a social media policy. It recommends that a policy (1) define who is authorized to use social media on behalf of the company and which platforms are acceptable, (2) include governance and ethics guidelines as well as approved technologies and processes for ongoing management, and (3) require signed affirmations and describe mitigation strategies. The document also notes that a social media policy is both a business plan and governance document that should not be too restrictive and must comply with relevant regulations.

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Social Media Policy Social Media Basics Webinar Series
Dummy text Getting Started on Social is driven by strategy and policy Who, What, When, Where and How? Your Policy is a Business Plan AND Governance Document 2
Social Media Policy Best Practices Dummy text Define and Document Your Policy Who is authorized? Which platforms are acceptable? Include your own governance and ethics Approved technology Signed affirmations Mitigation Ongoing management 3
Dummy text Scott Peterson Co-Founder 703.722.6688 (office) 571.344.4446 (cell) www.relaystationmedia.com/ | @sthepeterson www.linkedin.com/in/scottthepeterson www.signalboost.com Blog 4
Social Media Is About Dummy text Sharing Learning, Engagement, Conversation, Community Your policy shouldnt be too restrictive about what is shared! 5
Elements of Social Media Policy Dummy text At work: Mandatory training to use social media Mandatory use of archiving and review system Permitted & prohibited platforms Right to remove content on company systems Right to monitor employees Annual policy certification by all employees And more At home: Right to monitor any comments about company on Internet 6
Hub and Spoke Model Dummy text Digital Marketing Digital Events (webinars) Social Platforms Web site and blog 7 7
Platforms Leverage flexibility of multiple Dummy text mediums & formats 8
The Gateway to Social Media For All Dummy text Tablets Smart Phones 9 9
Governance Dummy text Outline regulations to meet Identify FINRA & SEC Rules that Apply Retention and Surveillance Review and Monitoring Broad Search rogue accounts, complaints Define Monitoring Methods 10 Written Supervisory Procedures Lexicons and Searches Pre-Approving Content
Choosing Technology Dummy text Data Aggregation & Retention How will you collect data? Reporting Automation How will you supervise content? Monitoring How will you search for what you dont know? 11 11
Rules & Regulations Dummy text FINRA Guidance (1006, 11-39, 12-29) NASD 2210(b) & 3010 SEC 17a4, 206(4)-7 12
Social Media Policy Is a Regulatory Requirement Dummy text SEC Rule 206(4)-7 Firms must adopt and periodically review effectiveness of policies and procedures regarding social media. FINRA Reg Notice 10-06 Firms must have a general policy prohibiting any associated person from engaging in business communications in a social media site that is not subject to the firms supervision only those associated persons who have received appropriate training may engage in such communications. 13
Section 7 of Dummy text National Labor Relations Act Employees have right to participate in concerted activities for the purpose of collective bargaining or other mutual aid or protection. Prohibiting statements that damage the company is too broad a restriction. 14
Section 7 of Dummy text National Labor Relations Act Be specific! Include reference that your policy does not include protected activities List 19 other categories of behavior can be prohibited 15
Social Media Basics Webinar Series Dummy text 16 16

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RegEd Social Media Basics Webinar Series - the social media policy

  • 1. Social Media Policy Social Media Basics Webinar Series
  • 2. Dummy text Getting Started on Social is driven by strategy and policy Who, What, When, Where and How? Your Policy is a Business Plan AND Governance Document 2
  • 3. Social Media Policy Best Practices Dummy text Define and Document Your Policy Who is authorized? Which platforms are acceptable? Include your own governance and ethics Approved technology Signed affirmations Mitigation Ongoing management 3
  • 4. Dummy text Scott Peterson Co-Founder 703.722.6688 (office) 571.344.4446 (cell) www.relaystationmedia.com/ | @sthepeterson www.linkedin.com/in/scottthepeterson www.signalboost.com Blog 4
  • 5. Social Media Is About Dummy text Sharing Learning, Engagement, Conversation, Community Your policy shouldnt be too restrictive about what is shared! 5
  • 6. Elements of Social Media Policy Dummy text At work: Mandatory training to use social media Mandatory use of archiving and review system Permitted & prohibited platforms Right to remove content on company systems Right to monitor employees Annual policy certification by all employees And more At home: Right to monitor any comments about company on Internet 6
  • 7. Hub and Spoke Model Dummy text Digital Marketing Digital Events (webinars) Social Platforms Web site and blog 7 7
  • 8. Platforms Leverage flexibility of multiple Dummy text mediums & formats 8
  • 9. The Gateway to Social Media For All Dummy text Tablets Smart Phones 9 9
  • 10. Governance Dummy text Outline regulations to meet Identify FINRA & SEC Rules that Apply Retention and Surveillance Review and Monitoring Broad Search rogue accounts, complaints Define Monitoring Methods 10 Written Supervisory Procedures Lexicons and Searches Pre-Approving Content
  • 11. Choosing Technology Dummy text Data Aggregation & Retention How will you collect data? Reporting Automation How will you supervise content? Monitoring How will you search for what you dont know? 11 11
  • 12. Rules & Regulations Dummy text FINRA Guidance (1006, 11-39, 12-29) NASD 2210(b) & 3010 SEC 17a4, 206(4)-7 12
  • 13. Social Media Policy Is a Regulatory Requirement Dummy text SEC Rule 206(4)-7 Firms must adopt and periodically review effectiveness of policies and procedures regarding social media. FINRA Reg Notice 10-06 Firms must have a general policy prohibiting any associated person from engaging in business communications in a social media site that is not subject to the firms supervision only those associated persons who have received appropriate training may engage in such communications. 13
  • 14. Section 7 of Dummy text National Labor Relations Act Employees have right to participate in concerted activities for the purpose of collective bargaining or other mutual aid or protection. Prohibiting statements that damage the company is too broad a restriction. 14
  • 15. Section 7 of Dummy text National Labor Relations Act Be specific! Include reference that your policy does not include protected activities List 19 other categories of behavior can be prohibited 15
  • 16. Social Media Basics Webinar Series Dummy text 16 16

Editor's Notes

  • #3: A recap of how the existing regulatory rules and guidelines apply to social media. This in conjunction with ongoing guidance from regulators. In addition how are financial professionals actually using social not via survey but from social archives of those professionals.Engagement leads to a clear understanding of if your strategy is working, helps establish ROI and also informs compliance review.Is there broader research in the industry on social usage that includes investors and advisors? Yes. A reference to the research partnership between Texas Tech University and Arkovi.
  • #9: New mediums have evolved to compete against the fax, print newsletter, email and even websites. These platforms all host content that falls into the spectrum of advertising, literature, public appearances and client correspondence.