SocialwareSocialware Blog
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LinkedIn Financial Services Summit: Key Themes
May 10, 2012 14:05 -
LinkedIn Financial Advisor Survey: Trends and Opportunities
May 10, 2012 06:05 -
LinkedIn: Compliance for Financial Professionals
May 1, 2012 07:05 -
LinkedIn: Business Hub for the Financial Professional
April 26, 2012 07:04 -
3 Key Themes from the Facebook Marketing Developer Conference
April 19, 2012 09:04
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Tim Walker:
Good point, Mark. And we've seen this happen already among the advisor populatio -
mark newcomer:
Good stuff Tim. I think your last comment is really apropos. At what point may l -
Tim Walker:
Thanks, Sheri. It's only a matter of time before most FAs are using social media -
Sheri Fitts:
This is fabulous content to site, specifically as it relates to the financial ad -
Tim Walker:
Thanks for the comment, Rich. It will be interesting to see how advisors adapt t
SocialTurns
Archive for the ‘Compliance’ Category
FINRA Digs Deeper on Social Media
There has been a lot of regulatory news regarding social media lately. IIROC issued their draft notice to account for social media. The SEC sent out a Sweeps letter. And now FINRA is going to re-open up the discussion on social media in 2011.
Socialware secures $3mm in additional funding
As you’ve probably read 2010 was an exciting year and 2011 is already off to a great start. Today we announced that Socialware has raised an additional $3mm in funding from existing investors, including FLOODGATE, G-51 Capital and Silverton Partners. This funding will allow us to address the increasing demand in this industry, extend our [...]
IIROC Publishes Social Media Notice
This week started off with the Investment Industry Regulatory Organization of Canada (IIROC) releasing updated guidelines for the review, supervision and retention of advertisements, sales literature and correspondence.
2010: Social Media & Financial Services (a look back)
We’ve rung in the New Year and with the finalizing of 2011 goals and priorities it is worth taking a step back to see how exactly we got here.
The 100 million dollar tweet
Reports have indicated that a major investment-banking firm was removed from the GM IPO due to a note sent by a senior analyst the night before GM filed terms for its $13 billion initial public offering.
FINRA Starts Social Media Audits
This past week we’ve heard multiple stories of FINRA starting to audit social media usage across regulated firms. The most interesting example we heard was of a FINRA auditor delivering printouts of LinkedIn profiles from registered reps of a firm.
Can insurance companies ignore social media?
Insurance companies are coming on board with social media in a big way, according to the Summer 2010 issue of Forward Focus, written by Deloitte’s director in the Insurance Industry Group.
The future of FINRA social media fines
As I was reading a blog post regarding MetLife’s $1.2mm fine from FINRA for failure to implement supervisory systems required to meet compliance obligations, I couldn’t help but see the foreboding for social media and this industry.
New York Life “gets” social with Socialware
Today Baseline Magazine released an article on the efforts of New York Life to move from prohibition to participation in the world of social media. Recently recognized by FORTUNE as one of the world’s most admired companies in 2010, New York Life is now directing their innovation towards the social frontier.
Are your employees farming at work?
You can have the clearest social media policy for the enterprise, implement and train on it, but if it’s not automated, employees will flat out ignore it.