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Social Media (73)
Your search for Social Media returned 73 results.
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4/18/2019 | Content area: Investment Adviser
Today’s advisers play in a whole different media landscape than their predecessors.   Take Blackrock Financial Management ($833B in AUM) in New York. ...
4/18/2019 | Content area: Investment Adviser
The 59-year-old books and records rule may be showing its age but that’s not stopping advisers from plugging into modern means of communications for w...
12/21/2018 | Content area: Investment Adviser
This matter involves a registered investment adviser—Hedgeable—that disseminated false and misleading marketing materials and performance data. Hedgea...
12/21/2018 | Content area: Investment Adviser
Wealthfront retweeted certain tweets from its clients on its Twitter account that constituted testimonials, which investment advisers are not permitte...
12/14/2018 | Content area: Investment Adviser
OCIE encourages advisers to review their risks, practices, policies, and procedures regarding electronic messaging and to consider any improvements to...
12/14/2018 | Content area: Investment Adviser
In recognition that the way the world communicates has changed, OCIE has released its 5th risk alert of the year. It features observations examiners c...
11/21/2018 | Content area: Investment Adviser
Financial services firms struggle when it comes to governing their employees’ use of mobile devices for business communications, according to a newly ...
7/26/2018 | Content area: Investment Adviser
The Advisers Act’s advertising rule may bear a few gray hairs as it nears 60 years old, but its age isn’t stopping many firms from diving into new med...
7/12/2018 | Content area: Investment Adviser
If you’re going to take your marketing advice from a chiropractor, you could expect to feel a pinch.   Three investment advisers and Leonard Schwartz,...
7/10/2018 | Content area: Investment Adviser
Between March 2015 and March 2016, Schwartz was a cause of four registered investment advisers’ violations of the testimonial rule under the Advisers ...
7/10/2018 | Content area: Investment Adviser
HBA violated, and Biel caused HBA to violate, the testimonial rule under the Advisers Act by publishing on the internet advertisements containing test...
7/10/2018 | Content area: Investment Adviser
Eyster maintained a public website that advertised financial planning and investment advisory services tailored to physicians. The website had a “Test...
7/10/2018 | Content area: Investment Adviser
Greenfield hired a marketing consultant named Dr. Leonard Schwartz (“Schwartz”) and his company, Create Your Fate, LLC (“Create Your Fate”), both base...
7/10/2018 | Content area: Investment Adviser
Romano Brothers violated the testimonial rule by publishing two videos containing client testimonials about Romano Brothers and the advice and service...
2/01/2018 | Content area: Investment Adviser
In a first, the SEC has secured the appointment of a receiver in connection with an alleged fraudulent initial coin offering targeting retail investor...
1/16/2018 | Content area: Investment Adviser
A peer shares the RIA's compliance manual, complete with numerous P&Ps.
11/03/2017 | Content area: Investment Adviser
The YouTube video featuring Knights of Columbus Asset Advisors ($22B in AUM) in New Haven, Conn., notes the “Powerball Jackpot is $800 million dollars...
9/14/2017 | Content area: Investment Adviser
A peer shows you the firm's policies and procedures for communications, including advertising, social media and more.
6/26/2017 | Content area: Investment Adviser
A peer shares a copy of a sweep exam letter that looked at how the advisory firm handles and oversees electronic messaging.
5/04/2017 | Content area: Investment Adviser
The return on investment for social media appears to be on the rise—at least for financial professionals. American Century Investments’ seventh annual...


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