Social Media

You can call it a trend. Recently, the SEC announced two more enforcement actions against advisory firm CCOs for misleading investors, even though none lost ...

Observations related to the use of social media by registered investment advisers

No corner of the web escapes Vanguard, the nation's largest advisory firm with $1.4T in AUM. Its parent company's Facebookpage announces a new app for ...

Whether or not you allow your reps to use social media for business purposes, FINRA expects you to train them on the difference between a ...

The pace of new technology development, especially when it comes to personal devices and their ability to reach anyone any way can be mesmerizing. "Every ...

A peer shares the firm's e-communications policy, which deals with emails, social media and other forms of electronic communications.

A peer shares the firm's policy for social media, email and other e-communications.

Surveying advisers' use of social media appears to be a trend in its own right (see this story). The latest to poll IAs is the ...

No technological solution offers perfection. For instance, some systems that purportedly track staff use of social media only alert you to what has already taken ...

This month Morgan Stanley expects to begin to roll out the business use of LinkedIn and Twitter by 600 financial advisers. The advisers will be ...