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 ‘Supervision’
FINRA Proposes New Content Rules
A few days ago FINRA submitted to the SEC proposed rule changes regarding communications to the public. The goal of the changes is to simplify and consolidate many of the existing rules.
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.
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.
Corporate Policy vs. Business Reality
Cisco recently announced the results of the Cisco Connected World Report, an international study that reveals the expectations and behavior of workers in accessing information anywhere, anytime and through any device.
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.
LiveOffice and Socialware Partner
We are excited to announce a strategic partnership with LiveOffice, the number-one provider of software-as-a-service (SaaS) email archiving, email compliance and email continuity solutions. Through this partnership LiveOffice is now able to offer their customers an integrated email, social media compliance & archiving solution.
Financial professionals get social, regardless of policy
A recent survey by financial marketing firm LederMark Communications found that most financial services professionals – 85% of those under age 50; 50% of those who are older – are using social media. And many of them – up to 40% — say it’s helping them build their business. Why? LinkedIn and Facebook, the preferred [...]
Webcast: FINRA Conference Recap on Social Media
Last week FINRA held their Annual Conference in Baltimore. One of the most heavily attended sessions was the discussion on social media and Notice 10-06. Here is how FINRA described the session: “This session addresses supervision of social media, including third-party networks, firm sponsored communities and blogs. Industry panelists discuss FINRA Regulatory Notice 10-06, what [...]
Center for Due Diligence Interview
In preparation for the CFDD’s New Age Marketing Advisor Conference I did a short interview which you can hear below. // Some of the topics discussed were: – Implications and questions of FINRA Notice 10-06 for financial advisors. – Whether or not financial advisors will get value out of social networks. – How you should [...]
LinkedIn Compliance Self-Assessment – Are you at Risk?
In the last few months we’ve heard a common refrain from financial industry professionals regarding LinkedIn. Things like: “We aren’t allowed to use social networks but we can use LinkedIn” “Our firm allows us to use LinkedIn but the activity isn’t monitored” “LinkedIn doesn’t fall under Notice 10-06” “We prohibit use, and our employees follow [...]