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 ‘eDiscovery’ Category
Real world advice for independent advisors, an interview with Kristen Luke
Kristen Luke, from Wealth Management Marketing, was gracious enough to spend some time talking through her work with independent investment advisors and financial planners. We specifically discussed social networking, what’s holding her clients back and how they are dealing with SEC and FINRA compliance issues. 1. Tell me a little about your background and Wealth [...]
Just released: Companion Guide to FINRA Social Networking Compliance
Yesterday FINRA surprised everyone by releasing Regulatory Notice 10-06, titled “Social Media Web Sites – Guidance on Blogs and Social Networking Web Sites.” Since September of 2009, FINRA created and has been working with a Social Networking Task Force to discuss “how firms and registered representatives could use social sites for legitimate business purposes in [...]
When is a social media policy not enough?
As more and more companies race to adopt social technologies they inevitably ask the question, “what should our policy be?” Depending on the industry and the company you will find a wide range of policies. Some are a few paragraphs and some are literally pages long. If you are looking for some examples here is [...]
Bringing financial advisors into the modern world
InvestmentNews, a publication specializing in delivering news and analysis essential to the business of financial advisers, posted an in depth look at Socialware and our solutions this past Friday. Most of us take for granted the use of social networks at work. However, for registered investment advisors or broker-dealers, they must juggle using these tools [...]
Social media policies, regulations and now insurance
It seems there is a new article a day on the increase of social media usage and the need to create corporate policies, train employees on the proper usage and ensure that the brand is not being harmed in the process. Unfortunately, companies are realizing policies are not enough. A report by Deloitte found that [...]
FINRA calls for social networking audit trail
On Tuesday, October 27th, Richard Ketchum the CEO of FINRA was interviewed on the “Closing Bell”. By way of background FINRA is the largest independent regulator for all securities firms in the US. The interview, shown above, focused on the use of social networking tools, like Facebook, LinkedIn and Twitter, by the financial community such [...]