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’
American Century releases new social media study
According to the new American Century Investments’ 2011 Financial Professionals Social Media Adoption Study, the number of financial professionals who said regulatory or compliance concerns were a barrier to their social media use dropped to 38% from 47% in last year’s survey.
SEC Swept Up by Social Media (PART 2)
For Part 2 of our discussion on the SEC social media sweeps letter I’d like to address the following questions that I suspect many of you are asking:
Socialware and LinkedIn to tackle Financial Services
Today Socialware and LinkedIn announced a new relationship to unlock social media for financial services organizations.
SEC Swept Up by Social Media (PART 1)
There has been a lot of buzz lately about the regulatory happenings in the financial sector. No, this isn’t about Dodd-Frank, this is about Social Media.
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.
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.