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When one of Canada’s top wealth managers needed to reach customers across social media, it turned to SafeGuard Cyber and Seismic LiveSocial. By ensuring compliance at scale, the firm’s portfolio managers and advisors can now meet customers where they are while mitigating risks and enhancing the impact of engagements.

“SafeGuard Cyber enables our Advisors and Portfolio Managers the freedom to engage with our clients securely and authentically while we take care of compliance.”

 

— VP of Compliance and Supervision

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The Challenges_social-selling-made-secure-new

The Challenge

A large, privately-held asset management firm wanted to reach new and existing customers on social media. However, it was unable to ensure their staff were using these applications compliantly. They lacked the capability to continuously supervise staff communications for a full range of digital risks. Wanting to avoid staid content, they understood that genuine interactions would better position their wealth advisors as trusted thought leaders.

How Did SafeGuard Cyber Help?

How Did SafeGuard Cyber Help__social-selling-made-secure-new

Automate_LightAutomated Compliance

Compliance-NextGen_Light (1)Rapid Time to Value

Intelligence_LightComprehensive Coverage

Turning to SafeGuard Cyber to supervise 462 social media accounts belonging to advisors, all social communications were supervised for 140+ risk factors, including IIROC Promissory and Promotions regulations, PII, high-pressure sales tactics, and customer complaints. By automating compliance for nearly 4,000 monthly social media posts and messages, the award-winning SafeGuard Cyber policy engine helped the firm detect an average of 593 violations, with a less than 1% false positive rate. And by leveraging Seismic LiveSocial, portfolio managers began to engage clients and prospects with more authentic conversations at scale.

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By leveraging Seismic LiveSocial, portfolio managers began to engage clients and prospects with more authentic conversations at scale.

Take Compliance Product Tour

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