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Financial Services RIAS Case Study

A Case Study by Proofpoint:

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Bridging the Social Media Compliance Gap for Registered Investment Advisers

In this case study, learn how a prominent financial services company navigated their social media compliance challenge with over 13,000 independent Registered Investment Advisers (RIAs) using independently-owned social media accounts within their firm. Actively engaged with their local communities to offer their services, these RIAs regularly turned to social media as a platform of choice to interact with new and existing clients.

This posed a huge compliance hurdle for the company as their team resorted to conducting resource-intensive, manual searches to identify all RIA social accounts that promoted their company's products.

The process of combing through these accounts gave the team limited visibility, in which only 10% of the company's total RIA social footprint was found. With an inefficient process and limited visibility, the company was concerned it was leaving the door open to possible SEC and FINRA policy violations and legal liabilities.

Download this case study and learn:

  • How this company navigated their social media compliance challenge and scaled their social program
  • Gained 13x more visibility into independent RIA social media accounts
  • Reduced their manual supervision efforts to nearly 99.9%
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