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Industry News
Feb 14, 2012
Many Advisors Face March 30 Deadline
The March 30 deadline for hedge funds and private equity firms is quickly approaching, but do private fund managers and registered investment advisors know what to do with the shift from federal to state oversight? RIAs with under $100 million in...
Feb 14, 2012
Chief Mobile Officer: A Job Title Now Timely?
The idea of a CMO is very new to companies - but with staff increasingly using smart phones and tablets, organizations should consider designating a CMO to administer enterprise mobile strategy. Mobile messaging compliance is a new idea, but one...
Feb 12, 2012
Private Equity Industry Attracts S.E.C. Scrutiny
The Securities and Exchange Commission has started a broad examination of the private equity industry. A letter went out from the SEC late last year warning several private equity funds of an "informal inquiry" that was on the way. As it happens,...
Feb 02, 2012
To Reach Clients Through Social Media, Talk About Yourself
Financial advisor Cathy Curtis of Curtis Financial Planning explains a strategy that many may have stayed away from or heard was the "wrong way" to do social media: use it as a tool to tell clients about yourself. It's important to follow social...
Feb 01, 2012
The Constant Conversation: Can Social Media Be Standardized and Trusted?
IT World Canada covers social media and how CIOs should have a fundamental knowledge of how this emerging technology is used. Michael Gladstone, CIO of IIBA, discusses his use of LinkedIn and Twitter. The social media policy discussion segment...
Jan 30, 2012
SEC Doesn't 'Like' Facebook
Attorney Todd Cipperman of Cipperman Compliance Service argues that the Risk Alert from the SEC on January 4, 2012, Investment Adviser Use of Social Media, will keep more advisers from flocking to social media. The Risk Alert was released hot on the...
Jan 26, 2012
Employer Social Media Policies Should Not Bar Protected Worker Activity: NLRB
The National Labor Relations Board looked at social media policies recently, determining that employers' social media policies should not prohibit activity protected by federal labor law, but employees' comments generally are not protected if they...
Jan 19, 2012
Time to get on the Twitter Train
Twitter is an excellent resource for advisers, even if they are not actively posting messages. This article points out that Twitter is more than just a place to share messages, it also functions as a great learning tool. In addition, it details how...
Jan 18, 2012
Wealth Managers Who Eschew Social Media Risk Losing Relevance
According to a recent study from Celent, social media channels are quickly becoming as important as traditional media channels for wealth managers when it comes to acquiring and retaining clients. According to the director of research at the Boston-...
Jan 18, 2012
Massachusetts on Social Media: It's Advertising
Massachusetts has outlined social media guidance for the 576 investment advisers in the state. State regulators are stressing record-keeping, periodic review and monitoring sites such as LinkedIn, Facebook and Twitter. Secretary of the commonwealth...
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