Tagged with Compliance

RegEd Webinar Preview — Social Media Policy 101

RegEd Webinar Preview — Social Media Policy 101

RegEd’s Social Media Basics Webinar Series continues this Thursday, November 15, 2012 at 4 PM EDT with Social Media Policy 101: What to Cover and Who Should be Included.  This week’s webinar will be presented by two industry experts — Scott Peterson of Relay Station Media and RegEd Senior Vice President of Customer Communications, Blane Warrene. Peterson and Warrene … 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

A Financial Advisor’s Social Survival

A Financial Advisor’s Social Survival

As an advisor, Henry Becker looks at social media very much like anything else he does. Every decision he makes is, more than likely, linked to some regulation or rule. That does not need to prevent him from dong his job. The compliance storm that is swirling about the use of social media appears to be holding back some advisors from using it in their practice. Continue reading

The Arkovi Solutions Series – Questions and Answers on Social Media Archiving

The Arkovi Solutions Series – Questions and Answers on Social Media Archiving

Day in and day out, our team is in the trenches interacting and listening to our customers and peers and how they use social media. Our backgrounds and history in the industry inform our priorities and research in identifying and anticipating the needs as technology evolves. Throughout this process we continue to discuss common topics across compliance, marketing, operations and technology. With that in mind we have launched our Solutions Series to demystify getting engaged with social media in financial services. 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

MarketCounsel and Arkovi Announce Partnership

MarketCounsel and Arkovi Announce Partnership

This partnership advances financial advisors’ ability to participate in social media. Advisors have a keen interest in social networking and the alliance between MailBanc and Arkovi helps them clear a significant compliance hurdle by integrating the social media activity of their reps with their email activity. Continue reading

A Day in the Life of an Advisor Using Social Media (updated edition)

A Day in the Life of an Advisor Using Social Media (updated edition)

Editor’s Note: We are pleased to offer an updated edition of Russ Thornton’s original post of a day in an advisors life using social media. Candidly, this has been the most read post on our blog since our launch in September 2009. Russ was kind enough to provide an inside glimpse of how a successful advisor has developed a workflow to integrate social media into his business. We found it compelling that he has found an approach that enables him to leverage a broad menu of platforms while managing content creation (Hootsuite – which we happen to love too!) and archiving/backup (ahem, using Arkovi) from consolidated tools. All of us welcome your feedback, comments and questions. Continue reading

A Comprehensive, Easy to Use Solution for Email & Social Media Archiving

A Comprehensive, Easy to Use Solution for Email & Social Media Archiving

Social media has rapidly evolved from a curiosity to a key communications, marketing and service channel for your business. The challenge is integrating it into your operational practices without disruption. Through a strategic partnership, BMRW & Associates, Inc. (developers of Arkovi, the premier social media archiving solution) and MessageWatcher, LLC (a leading communications archiving and surveillance provider) are offering a comprehensive email, messaging and social media archiving solution. 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