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.