Asset Management,Industry News       

Following up on Regulatory Notice 10-06, ‘FINRA’, the Financial Industry Regulatory Authority, has recently posted new guidance in the form of notice 11-39 on its website. The guidance attempts to answer additional questions regarding the original application of the rules as well as the finer points on how companies …

 Asset Management       

The SEC has followed the footsteps of FINRA’s 10-06 guidelines on social media by now asking some investment advisory firms for information regarding social media.

 Asset Management       

At least one investment manager continues to innovate in the social media space. The latest innovation is from Vanguard where they have figured out a way of having their clients do marketing for them through Facebook.

 Asset Management       

Maintaining compliance with regulatory requirements is one of the major obstacles that Investment Managers, Brokers and Financial Advisors are facing before jumping into social media. If you haven’t heard your Legal & Compliance department say they don’t have the people necessary to monitor all of the firm’s social media, then …

 Asset Management       

As an advisor at an investment management or advisory firm, your job is to secure new clients, enhance communication with current clients, and promote your firm. What better way to accomplish all of the above with very little marketing budget than with Social Media tools like Twitter and LinkedIn. If …

 Asset Management       

While syndication of videos is rampant via websites like YouTube, it is questionable if that is the most appropriate platform for investment managers who worry about brand reputation and attracting the right, qualified audience. Well, now there is a new platform for broadcasting research, market commentary, trade ideas and conferences …

 Asset Management       

After releasing their regulatory notice 10-06, FINRA conducted a webinar including interactive Q&A session on February 3, 2010 to expound on and hopefully clarify their guidance on the use of blogs and social networking sites for communications sponsored by a financial services firm or a registered representative.
Read on to see …

 Asset Management       

FINRA has provided regulatory notice 10-06 regarding social media, but none of the guidance is earth shattering and in fact is quite underwhelming.
On January 25, 2010, FINRA released a ten page regulatory notice covering what sort of guidance firms should apply when communicating on social media sites, such as blogs …