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       

In a recent, March 2011, poll conducted by SEI investments, investment managers felt overwhelmingly optimistic (88%) about their prospects but also have decided to make certain strategic investment as a means to capture further assets and addresses areas of risk.

 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.

 Industry News       

A study of the Spanish mutual fund marketplace has uncovered the possibility of a huge conflict of interest on behalf of some Asset Managers.

 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 …