Who We Serve

Licensed employees for financial institutions utilize social media for a variety of reasons, including the development of referral partner relationships and enriching connections with consumers. However, using social media as an advertising platform is not without risks for these highly regulated industries. ActiveComply serves a wide variety of financial institutions in the United States: 

Independent Mortgage Banks

Independent mortgage bankers are non-depository institutions that typically focus on origination, servicing, and other mortgage related services. IMBs and their licensed employees, loan officers, have long since utilized social media to build strong connections with consumers and local referral partners. Regulated by a variety of government bodies, including HUD, the CFPB, and state regulators, to name a few, IMBs must take a number of rules into account when utilizing social media.  


Depositories generally refer to banks and any other financial institutions where account holders can make deposits into various checking & savings accounts, apply for loan products, and perform other financial actions. Regulated primarily by the FDIC, banks are especially wary of not only compliance concerns on social media but also any brand reputation issues that might arise.  

Credit Unions

Credit Unions are a type of financial institution that generally provide services to a membership base, often including retail banking, deposit accounts, mortgages, auto loan refinancing, etc. Under the guidance of the NCUA, Credit Unions and their licensed employees often use social media to interact with their members on a more personalized level and encourage the use of multiple financial products.  

Wealth Management Firms

Brokerage firms and exchange markets generally fall under the heading of wealth management firms. Wealth management firms utilize social media to provide financial advisory and promote wealth management services to consumers. Primarily regulated by FINRA, individual brokers and management firms alike fall under intense scrutiny for consumer protections on social media.