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Social Media's Impact on the Fund Industry

27 February 2013

As social media use continues to skyrocket and impact all facets of communication, investment advisers and broker-dealers face unique challenges balancing the competing concerns of regulatory compliance, employment policy, and marketing. In this "new age" of interactive electronic communications and social media use, financial services companies must consider appropriate policies for the use of social media by their employees and by firms themselves. On February 27, 2013, K&L Gates hosted a webinar designed to help broker-dealers and investment advisers evaluate important issues such as content, monitoring, record-keeping and document retention, and other potential pitfalls inherent in using social media in a financial services workplace.

Topics Included:

  • An overview of the regulatory regime governing the use of social media by investment advisers and broker-dealers, including guidance from the SEC and FINRA, and the potential impact of social media use on CFTC registration obligations.
  • The impact of employment and privacy laws on the use of social media in the workplace.
  • Best practices for developing and administering a social media policy.
  • The JOBS Act and social media marketing strategies for private funds.
  • Practical guidance regarding the collection and maintenance of social media records.


  • Christine Watts Johnston, Partner, Labor, Employment and Workplace Safety, K&L Gates, Boston
  • Michael W. McGrath, Counsel, Investment Management, Hedge Funds and Alternative Investments, K&L Gates, Boston

Click here to listen to the webinar recording.

Click here to download a copy of the handout materials.