Liability grows greater with each new opportunity we have to brand our services and every open portal that is used to distribute our information among the many websites. This along with a lack of knowledge about how to manage each one effectively increases our liability. This session is designed to create awareness of the requirements under both state law and the Code of Ethics.
Here are just a few of the topic this session will cover:
o Compliance with Marketing Regulations in Web Site Activities
o Risk Reduction and Electronic Portfolio Management
o Compliance with Marketing and Disclosure regulations in Email-based Communications
o Understanding and managing "sharing of fees" when dealing with online services (intermediaries) (254 CMR 3:00(8))
o Alternate methods for record keeping to provide greater, safer document storage and easier method to provide full transaction records to all parties
o Social media and copyright issues