IIROC Guidance On Social Media Communications

Posted by Mikki Ware on April 16, 2015

What a difference a decade makes when finance meets technology. Notice MR0281, originally issued by the Investment Industry Regulatory Organization of Canada (IIROC) in 2004, provided guidance for securities dealers on the nature of communications materials, including advertising and correspondence with clients. But that’s not all - IIROC Rule 29.7 (supplemented by IIROC Notice 11-0349) requires firms to produce proof of these materials during regulatory audits.

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Topics: compliance, Compliance, financial services, FINRA, IIROC, social media, social media compliance

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