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       

Presenting a four stage maturity model for Financial Services companies who are interested in social media, wondering how to get started or what to do next.
The four stages that are explored in this maturity model are:

 Industry News       

The Vanguard Group is another investment manager who has seen the potential of Twitter and recently launched their presence after nine months of planning on how to deal with compliance, content and staffing. Read on for highlights of a recent Ignites article covering the Vanguard launch.

 Asset Management       

What do industry experts identify as the top 5 challenges of incorporating social technologies into Financial Services? As a result of moderating a recent interactive round-table discussion, we can now find what the top challenges are! Read on to learn more…

 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 …

 Announcements       

In FactRight LLC’s most recent newsletter, EverydayTenacity was called upon to provide a synopsis of FINRA’s Regulatory Notice 10-06 on social media.
It is my pleasure to provide a reprint here and be sure to check out FactRight’s independent research to broker dealers and registered reps.
FINRA 10-06 social media_issues
View more documents …

 Asset Management       

Financial Advisors as well as Investment Managers are increasingly establishing their digital presence on a number of the top social media sites now that they have had some time to digest the rules established by FINRA’s 10-06 regulatory notice. Read on to see what are the top sites.

 Announcements       

A recent conference was held in New York City on Wednesday, March 24, 2010 presenting the topic of protecting and strengthening your brand across the social web, or more aptly referred to as Social Reputation Management. Read more for the highlights of companies who are active in the social media …

 Asset Management       

Today, we present a look at social media in the investment management industry from the stand-point of a technology solutions provider. Chad Bockius from Socialware Inc., the Social Middleware Company,  has provided this guest post covering 5 powerful questions and answers.