Smartenu Up Institute

Social Media for the Financial Industry - Regulation and Governance





4 IIROC Compliance credits.

Financial advisors shouldn't have to be on their own when it comes to learning about the various social media platforms and how to use them. 

Despite the potential benefits that advisors and industry support staff may see when using social media, there remains a major roadblock in the lack of social media guidance from financial services industry regulators.  It's not a secret that the Canadian regulators watch what the U.S. is doing first when it comes to regulating social media, and despite the Investment Industry Regulatory Organization of Canada (IIROC) having introduced guidelines in 2011, advisors continue to be unsure what can and cannot be posted on social media.  

This course provides the financial services' professional with an overview of social media in the investment industry, the regulations and guidance that affect usage of social media and how to effectively implement social media.


You may start your online course upon confirmation of payment.  Your confirmation email will include your username and password to enter the online classroom.  

You can start immediately or you can come back at a later time to complete the course.

Once you start the exam portion of the course you must continue to the end. You will not be permitted to navigate back to previous pages.
 

 

This course should be of particular interest to:
  • Investment and financial firms' front office, back office, compliance, IT, licensed staff
  • Investment firms' counter parties at banks
  • Employees of regulatory agencies
  • Institutional client personnel
  • Industry vendors' employees
 

Understand how the Canadian financial industry uses Social Media and the regulatory challenges and oversight required to manage the use of these powerful communication tools. 


 

Lesson 1 - Introduces social media. What social media is, the role it can play in the financial services industry, and who are the major constituents using it.

Lesson 2 - Reviews the rules and regulations of social media use.

Lesson 3 - Reviews what barriers exist in the financial industry, causing financial firms to hesitate to implement social media platforms.

Lesson 4 - Describes how to effectively implement the use of social media in the industry.

Lesson 5 - Introduces the future of social media in the financial industry.

Lesson 6 - Includes examples of how major firms implement social media in their establishment.

On-line Exam
Once you have completed the course the exam is provided to you automatically. You will not be allowed to navigate back to previous pages once you start the exam. You must finish the exam once started. Upon successful completion of the course, you will be provided with a Certificate copy.


Course Code: CEC15
$250.00