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Financial Planning July 1, 2011 Donna Mitchell |
Tweet Away It's been a struggle to get advisors to embrace social media because they don't fully recognize its business value.  |
Investment Advisor April 21, 2011 John Sullivan |
Commonwealth Financial to Allow Rep Access to Social Media Beginning in early June of 2011, it would allow its advisors to use social media, including Facebook, Twitter, LinkedIn and blogs.  |
Financial Advisor March 2010 Joel P. Bruckenstein |
Beware The Pitfalls The advantages of social media for advisors are being trumpeted loudly, but the risks are heard less.  |
Investment Advisor June 10, 2011 Janet Levaux |
BDs Beware: Banning Facebook Is Bad Policy, Says Socialware's Chad Bockius Socialware CEO says that prohibiting use of Facebook, Twitter and LinkedIn might lead to financial advisors switching firms.  |
On Wall Street March 1, 2010 Mark Astarita |
Advisors Allowed To Get Social Some firms will continue to ban social media, while others will use the necessary software to allow it-just don't make a recommendation on one of the sites.  |
Financial Advisor July 2010 Andrew Gluck |
A New Era With broker-dealers now starting to embrace social media, advisors have many more ways to market their firms.  |
Registered Rep. May 2, 2011 Kristen French |
Raymond James, Commonwealth to Give FAs Free Reign on Social Media In other words, they will be able to post tweets, updates and comments that have not been pre-approved in real time.  |
Financial Advisor March 2012 Gail Liberman |
Social Media Hurdles Some advisors are using social media for marketing, but many haven't spent much time using it because of compliance issues.  |
Bank Technology News March 2010 Michael Sisk |
How to Stay Online and Inbounds Combine the fast, freewheeling world of social networking sites with the conservative, highly regulated world of financial advice and the reconciliation is bound to awkward.  |
Financial Advisor July 2011 David Lawrence |
Learning To Socialize Integrating social media into your advisory practice takes careful evaluation to get the most from what it has to offer.  |
Registered Rep. March 3, 2010 Kristen French |
New Social Networking Site Targets FAs LinkedFA is a new website is trying to cash in on the social networking craze and resolve some of the thorny regulatory questions that social networking sites raise for financial advisors.  |
Investment Advisor August 2010 Marlene Y. Satter |
Broker/Dealer Briefing: Facebook and Twitter: Compliance Concerns Loom As FINRA notes, social media is no longer a trivial pursuit for advisors. And as they've grown more complex, the need to consider compliance issues for all communications on social media has grown from mere prudence to a necessity.  |
Registered Rep. September 19, 2011 Diana Britton |
More Advisors Using, Prioritizing Social Media, Survey Says Not only are more advisors using social media for business purposes, but more are making it a priority.  |
Registered Rep. July 27, 2011 Diana Britton |
NPH Adopts Social Media Strategy to Help Reps Connect with Clients National Planning Holdings plans to roll out a social media initiative this fall, which will allow its 3,563 reps to use Twitter, LinkedIn and Facebook to communicate with clients.  |
Financial Advisor June 2009 Andrew Gluck |
Social Networking And Advisors Advisors are barely scratching the surface in their use of social networking.  |
Financial Planning July 1, 2013 Joel Bruckenstein |
Tech Review: New Digital Content Services Two new services allow advisors to deliver online content to clients and prospects via social networks.  |
Financial Planning December 1, 2009 Chris Hall |
Socially Adept Participation in social media -- LinkedIn, Facebook, Ning, Groupsite, Twitter, blogs, YouTube -- is now a workplace reality.  |
Investment Advisor March 2010 James J. Green |
B/D News Bulletins and news of interest to broker/dealers from FINRA and the SEC.  |
Bank Technology News May 2011 Clara Shih |
5-Step Social Media Plan With more than 800 million active users across Facebook, LinkedIn, and Twitter, social media cannot be ignored. Financial institutions must adapt or face mass customer migration.  |
Financial Planning October 1, 2006 John E. Gebauer |
Your Mailbox Is Full For investment advisors, the regulations for email retention remain murky, but applying some best practices can help.  |
On Wall Street October 1, 2013 Alix Stuart |
A Social Media Presence May Enhance Business Now that advisors are (finally) allowed to use it, social media is finding its place in the marketing arsenal.  |
Investment Advisor August 2005 Thomas D. Giachetti |
Come Right In Here are some issues pertaining to an advisor's compliance-readiness, including a list of some of the more substantive issues that are currently the focus of SEC examiners.  |
Registered Rep. June 16, 2011 Diana Britton |
Securities America Jumps on the Social Media Bandwagon Independent broker/dealer Securities America announced its new social media program, which will allow all of its 1,800 reps to access and post content on Facebook, LinkedIn and Twitter.  |
Registered Rep. November 18, 2010 Diana Britton |
A Tweet Here, a Few More Million Assets There The financial industry's social media interaction is mostly around telling people about the organization, not around engaging the customer.  |
On Wall Street May 1, 2010 Gerri Leder |
Keeping In Touch And Getting New Business With Social Media Personal use of Facebook and business use of LinkedIn are converging, sometimes leading to new business and sometimes just rekindling relationships with acquaintances who might otherwise be lost.  |
Registered Rep. October 31, 2014 Megan Leonhardt |
The Lost Opportunity Despite the greater freedom and advantages using the tools can bring, only 53 percent of advisors at RIA firms are using social media for business.  |
Investment Advisor July 2006 Thomas D. Giachetti, esq. |
Expert's Corner: Passing Muster Is your electronic record keeping up to SEC snuff? Financial advisors should exercise discretion and diligence regarding electronic record retention and communication procedures. When in doubt, retain the hard copy original or make a phone call.  |
Registered Rep. July 8, 2011 Lauren Barack |
AIG's Advisor Group Kicks Open Door to Social Media For Reps Advisor Group will allow its more than 4,800 independent reps to, in many cases, post freely on Twitter, LinkedIn and Facebook.  |
Financial Planning March 1, 2005 Andrew Miller |
You've Got Mail A new compliance rule involving financial advisers and broker-dealers raises a host of questions about recordkeeping and e-mail retention.  |
Registered Rep. December 16, 2011 Diana Britton |
Social Media Archiver Erado to Expand Globally Erado, which provides social media compliance and archiving software for broker/dealers, plans to expand its operations into Western Europe, Canada and possibly Japan next year, and expects to add at least 30 new employees in 2012.  |
Registered Rep. September 7, 2011 Diana Britton |
Seven B/Ds Sign on With Erado for Interactive Social Media Use The partnerships will allow these firms' reps to post interactive content to Facebook, Twitter, and LinkedIn without pre-approval by their compliance departments.  |
Financial Planning June 1, 2011 John Comer |
Linking In When you talk about social media, Facebook and Twitter tend to get most of the buzz. But many financial advisors might not realize that another network may generate better results: LinkedIn.  |
Registered Rep. March 29, 2012 Jerry Gleeson |
Social Media Works, Advisors Say Social media is gaining momentum with financial advisors, new research by Registered Rep. and wealthmanagement.com shows.  |
Financial Advisor March 2012 David Lawrence |
Creating A Social Media Policy Financial advisors are wise to embrace the new communication medium. But, there are a number of issues to be addressed as they embark on a communications strategy.  |
Investment Advisor June 2009 Thomas D. Giachetti |
Expert's Corner: Complacency, Risk and the SEC Often advisors become complacent with respect to compliance, but all RIAs must recognize that compliance is an ongoing process requiring the review/update/amendment of regulatory filings, disclosures, and procedures.  |
Registered Rep. October 27, 2011 Kristen French |
Momentum Building for Social Media Adoption in Financial Services Financial firms that are using social media are not talking about their products or engaging their customer base.  |
Investment Advisor February 2008 Thomas D. Giachetti |
Is an IPS the Answer? Investment Policy Statements can be helpful, but remember, longer documents aren't always better.  |
Financial Advisor June 2011 Michael W. Byrnes |
Social Media Networking Becomes Even More Important Whether a believer or disbeliever in the power of social media, it is important to see the trends and know how business will be impacted. This article shares three things to keep up with as the industry evolves.  |
Financial Advisor March 2012 Mike Byrnes |
Massachusetts Addresses Social Media Regulation Results from a July 2011 survey by the Massachusetts Securities Division found a significant growth trend in advisors using social media, but also found compliance deficiencies in existing social media regulations.  |
Registered Rep. December 15, 2010 Jerry Gleeson |
A New Role for Top MSSB FAs: Bloggers Mike Ross, a portfolio manager at Morgan Stanley Smith Barney who oversees $500 million with a partner, now has a new role: wirehouse blogger.  |
Financial Planning October 1, 2010 Brian Hamburger |
Regulation Season A look forward at the real effects of regulatory change - and they could be as unattractive as they are expensive.  |
Bank Director 2nd Quarter 2011 Naomi Snyder |
Social Anxiety Banks have been wary of the social media revolution. Their customers are giving them little choice but to embrace the cacophonic world of tweets, blogs and Facebook.  |
Registered Rep. March 13, 2012 Lauren Barack |
Tongue-tied Advisors Even if they have their firms' permission to tweet, a technology platform up and compliance guidelines in place, the fear that they will "do it wrong" keeps many financial advisors from participating.  |
Wall Street & Technology May 30, 2007 Melanie Rodier |
Market for Wealth Management Compliance Systems Set to Jump 15% by 2011 Investment advisors are expected to spend the most on technology as they are among the fastest growing and most regulated group of advisors. But hedge funds are also likely to increase IT spending.  |
Financial Advisor September 2011 Michael W. Byrnes Jr. |
Is Google+ Really A Plus? Just as financial advisors were starting to figure out LinkedIn, Facebook and Twitter, the social space just got more complicated. Here are insights on using Google+.  |
Investment Advisor August 2006 Thomas D. Giachett |
Expert's Corner: A Process, Not a Destination With the advent of SEC Rule 206(4) 7, which requires SEC-registered investment advisors to implement and maintain policies and procedures appropriate for their investment advisory business, it is more critical than ever for all RIAs to recognize that compliance is an ongoing process.  |
Registered Rep. August 19, 2011 Kevin Nichols |
Five Tactics for Leveraging Social Media in Volatile Markets The following are five social media tactics forcommunicating your calm presence, bolstering your brand and simultaneously finding new prospects in tough times.  |
Financial Advisor March 2005 Tracey Longo |
The Watchdog Inside Your Firm The SEC is making your chief compliance officer a whistleblower. Advisors' success with regulators in 2005 will depend largely on whether they trip themselves up or are able to create a business model that is better aligned with their clients.  |
Registered Rep. October 19, 2011 Diana Britton |
Registered Rep/Wealth Management.com Research: Indies, Insurers Take Lead on Social Media RIAs, independent broker/dealers and insurance companies are taking the lead in social media usage, ahead of wirehouses, regional firms and bank brokerages.  |
Financial Advisor July 2011 |
Frontline News Advisors Using Fewer Asset Managers... The New CFPs... Avoid The Analyst Herd... etc.  |