IA- Investment Adviser Social Media Disclosure Statement

The Investment Adviser Social Media Disclosure Statement serves as an important part of an investment adviser’s overall supervision of social networking websites and business communications used by its advisory representatives.  Investment adviser firms using social media should adopt, and periodically review the effectiveness of, policies and procedures regarding social media. The Disclosure Statement helps firms collect, organize and supervise the use of social media sites in accordance with SEC Rule 206(4)-7 and/or similar state requirements that are often used to communicate with new and existing clients, promote services and educate investors.

Version/Update: V.2/July 8, 2019

Total Page Count: 2

Source/Author(s): Connexien