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3) Other than to mention as a matter of fact that the CIS Rep works for Cornerstone, the Reps are not
allowed to use the Social Network sites for marketing or bringing in business. All usage and posting to
these sites must be monitored and approved by the firm’s CCO.
4) CIS‘s books and records policies on correspondence and advertising, require that, as correspondence
and/or advertising, all social media usage and posts must be approved by the CCO and retained and
archived;
5) Annually, the Rep is to bring in a screen shot of his web page for the annual CIS audit.
6) Failure to follow CIS’s policies and procedures by any adviser and/or supervised person may subject this
individual to various sanctions, fines, and possibly termination by the firm.
