SocialwareSocialware Blog
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Webinar Series: Four Steps to LinkedIn Success
January 31, 2012 07:01 -
Social Media for RIAs in Massachusetts: The Fourth Castle
January 24, 2012 11:01 -
It’s Not Just Social Media: You Want Social CONNECTION
January 20, 2012 12:01 -
How CIOs and Other IT Leaders Can Enable Social Business
January 19, 2012 12:01 -
Financial Professionals Must Work Social Media To See Real Results
January 17, 2012 12:01
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Terrance Blessing:
Great! Very excited to get going. -
Brent Carnduff:
Great article! Very simple and straight forward! -
Adam Cohen:
Tim, thanks again for including me. I think the challenge of teams working arou -
victor gaxiola:
2011 was an eventful year for financial social media, and I anticipate 2012 will -
Timothy E. Walker:
Excellent coverage and advice! It's too bad that a few "bad eggs" make life har
SocialTurns
Posts Tagged ‘Compliance’
Social Media for RIAs in Massachusetts: The Fourth Castle
Now we have both the SEC and the Commonwealth of Massachusetts issuing guidance for Registered Investment Advisors. We have seen securities regulators, insurance regulators, and now RIA regulators all say the same things: Yes, social media is an exciting new form of communication. Yes, we will apply existing rules to this new technology.
How CIOs and Other IT Leaders Can Enable Social Business
Former Salesforce.com CIO Kirsten Wolberg talked about how often CIOs and other IT leaders are “at the nexus of saying ‘No’,” and how refreshing it is to be able to say “Yes” to new initiatives or tools that enable better business outcomes—especially in areas like social.
2012 Predictions for Social Media in Financial Services
Last week I sat down with Socialware CEO Chad Bockius for our 2012 Predictions webinar, in which we discussed the social media trends he sees emerging in financial services. Now you can listen to the archive of the webinar to hear why Chad thinks that this is the year when social business gets personal, along with his specific predictions for consumers, financial advisors, regulators, and enterprises.
FINRA Opens Door for Social Media with New Rules
FINRA has modified its approach to social media messages by financial advisors, proposing to narrow the categories of messages that require post-use filing. This should help both advisors and their firms embrace social media with less worry about compliance burdens.
SEC Clarifies Stance on Social Media, Takes Action to Punish Social Network-Based Fraud
The SEC made news this week with two moves on the social media front. First, it issued three alerts aimed at helping investors and financial services firms understand the risks associated with social media use. Second, it brought charges against a financial advisor in Illinois whom the SEC alleges committed fraud through postings on LinkedIn.
Proposed FINRA Rule Changes Delayed
While firms aren’t delaying their move to social in anticipation of these rule changes, it appears we will have to wait to get the official SEC stamp of approval.
6 Keys to Social Media Compliance
What does it mean to meet the compliance bar for social media use in financial services? While most now know about FINRA 10-06, there are often questions about what it takes to be compliant.
Drawing the Line- Personal and Professional in Social Media
In the first of a joint webinar series, speakers from Distribion, LIMRA and Socialware discuss numerous questions and perspective on personal and professional use of digital and social media.
Compliance leaders in financial services – you are not alone!
In an ever-changing landscape where shades of grey define the world facing today’s financial services compliance leaders, how valuable would it be to talk with others in your same position and ask, “What are you doing about this?”
Social media compliance clarity for financial services
We recently asked top firms in the industry to share the most pressing compliance concerns within their organizations or from colleagues across financial services companies. The responses shared both the challenges and opportunities that social networks present for business today.