Filed under Compliance

A Social Media Discussion with The CONNECTED Advisor – Morningstar Investment Conference

A Social Media Discussion with The CONNECTED Advisor – Morningstar Investment Conference

The CONNECTED Advisor, a dedicated team of financial industry professionals with extensive experience in training thousands of financial advisors, recently interviewed attendees at the Morningstar Investment Conference in Chicago June 8-10th. Discussion topics included managing the client review process, and leveraging social media while remaining compliant. See Maureen Wilke of The CONNECTED Advisor interview attendees … Continue reading

Education Key Ingredient to Social Media Archiving and Compliance

Education Key Ingredient to Social Media Archiving and Compliance

As evidenced by the popularity of the blog: “5 Must-Haves to Look for From Your Social Media Archiving Provider”, we are pleased to see that social media archiving continues to be top of mind for advisors and compliance officers alike. As a pioneer of social media archiving solutions for financial advisors – we take our corporate responsibility of education seriously. We appreciate you taking the time to read our blog as it contains invaluable advice on this important decision. Continue reading

SEC Social Media Sweep: Cooler Heads Will Prevail

SEC Social Media Sweep: Cooler Heads Will Prevail

The announcement of an SEC sweep on RIAs’ social media usage has generated quite a bit of buzz, bordering on fervor. However, this should not come as a shock. Like you, as industry veterans, we have lived through the past 20 years as regulatory bodies have held similar sweeps exploring new product types, investment techniques, … Continue reading

Compliant Social Media – How To Do It

Compliant Social Media – How To Do It

We receive a lot of questions around compliance – specifically leveraging social media under FINRA and SEC regulatory rules and guidelines. We also invest a lot of energy in educating and raising awareness on this topic through articles, webinars and other efforts.

Recent efforts include: Continue reading