Redefining Communications Compliance for the Digital Age

Accreditation Wreath Icon CT
Connecticut selected on map

Connecticut MCLE
Accreditation Info

United Institute for Continuing Legal Education is an accredited sponsor of CLE across the United States. To view our full accreditation details please .

All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Join us in exploring how firms are tackling the compliance challenges and leveraging the opportunities presented by the growing reliance on mobile apps, social media, and other digital channels for communication. In this enlightening session, industry experts and representatives from FINRA will provide valuable insights on navigating the intricate landscape of firm communications with the public.

The panelists will delve into a range of important topics, including lessons learned from FINRA's targeted examinations of "finfluencers" in the industry, recent enforcement actions concerning off-channel communications, and the strategies adopted by practitioners when dealing with chatbots and the metaverse.

This CLE program aims to:

  • Discuss the evolving methods of client interaction, encompassing texting, mobile apps, and social media platforms.
  • Address record-keeping and supervision considerations in light of recent SEC actions related to off-channel communications and FINRA's targeted examination of social media influencers, commonly known as "finfluencers."
  • Explain how compliance officers and regulators can foster an environment of innovation to keep pace with emerging advancements, such as chatbots, the metaverse, and beyond.
Decorative Arc

United Makes CLE Easy

A puzzle in a hand

One.

Select Course Package

  • Unlimited CLE

    Enables you to fulfill multiple CLE cycles with one purchase.

  • One-Stop Bundles

    Our most popular courses bundled to save you time and money.

  • Build-A-Bundle

    Select the courses that interest you most while taking advantage of our bundle discount.

A clipboard with a checklist

Two.

Immediate Access to CLE Courses

Courses are available immediately upon checkout. You will have 24/7 access to your purchased courses during the lifetime of your subscription.

Courses can be started, stopped, and paused at any time.

A certificate

Three.

Instantly Print Your Certificate

You can immediately print your CLE certificate upon completion of a course.

A copy of your certificate will remain in your account and will always be accessible to you.

Decorative Arc

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options