Question 1 of 2
A representative has been posting business-related promotional content on a personal social-media account without submitting content through the firm’s required supervisory process. What should the principal do?
Strong Interview Answer
The principal should stop the unapproved business communications and determine the scope of prior activity while implementing compliant future review and records controls. A blanket ban on all personal use is broader than the supervisory issue requires.
What to Listen For
- review and approve public communications
- rule 2210
- supervisory process
- records controls
Caution
Focus on the supervisory process and rule 2210, not just the content itself.