Presentation: Social Media for Registered Investment Advisers
Presented by: Debra Tobin, Compliance Manager, Financial Engines
Registered investment advisers are confronted with a myriad of compliance considerations with respect to the use of social media. This presentation will identify some of those considerations with suggestions for addressing them.
WeInvest offers a digital wealth platform to Financial Institutions in Asia and Middle East, for making investment related decisions simpler, smarter and cheaper for the retail investor.
This is an small sample of information from my \'Presenting to Boards\' courses. The material is covered in detail in my recent book \'Presenting to Boards\'.
Robert Tarola, President of Right Advisory LLC, presented "CFO as Advisor" to the Innovation Summit sponsored by the MACPA in Baltimore, MD on June 16, 2014. It outlines how finance professionals can enhance their value to an organization by providing the appropriate context to their insights and advice.
Right Advisory LLC's services include helping finance professionals, executives and boards understand their organization strengths and challenges.
With over 40 years of experience, Bryson Wealth Management is highly qualified to serve you or your business in all of your retirement plans and individual financial needs. Browse through our Capabilities Slides to learn more.
Gefeliciteerd met je enterprise social network! Of met je nieuwe intranet! Gewoon de stekker erin stoppen dan maar? Misschien toch even wachten en een paar zinvolle vragen stellen.
Ficha de trabajo con la canción "La Gozadera" de Gente de Zona feat. Marc Anthony. Se pueden trabajar los países hispanohablantes y otros aspectos que se consideren pertinentes (español europeo VS español de américa; variedad lexical del español, etc...)
WeInvest offers a digital wealth platform to Financial Institutions in Asia and Middle East, for making investment related decisions simpler, smarter and cheaper for the retail investor.
This is an small sample of information from my \'Presenting to Boards\' courses. The material is covered in detail in my recent book \'Presenting to Boards\'.
Robert Tarola, President of Right Advisory LLC, presented "CFO as Advisor" to the Innovation Summit sponsored by the MACPA in Baltimore, MD on June 16, 2014. It outlines how finance professionals can enhance their value to an organization by providing the appropriate context to their insights and advice.
Right Advisory LLC's services include helping finance professionals, executives and boards understand their organization strengths and challenges.
With over 40 years of experience, Bryson Wealth Management is highly qualified to serve you or your business in all of your retirement plans and individual financial needs. Browse through our Capabilities Slides to learn more.
Gefeliciteerd met je enterprise social network! Of met je nieuwe intranet! Gewoon de stekker erin stoppen dan maar? Misschien toch even wachten en een paar zinvolle vragen stellen.
Ficha de trabajo con la canción "La Gozadera" de Gente de Zona feat. Marc Anthony. Se pueden trabajar los países hispanohablantes y otros aspectos que se consideren pertinentes (español europeo VS español de américa; variedad lexical del español, etc...)
A visual presentation of new research in environment, historical GIS, and digital media, this research profile highlights my recent post-doctoral work.
Joyce Sullivan, founder and ceo of SocMediaFin joins as social media keynote speaker at the 72nd Automotive Recyclers Association connected auto recyclers with their ideal audiences through the power of social media, hashtags and branding. The global recycling movement was started by auto recyclers 72 years ago.
Juego para practicar la comunicación con alumnos de nivel B1-B2. Para jugar se necesita un dado y fichas. Para más información sobre cómo jugar consulta laclasedeele.blogspot.es
Social Return on Investment (SROI) - a framework for Benefits ManagementMinney org Ltd
The Social Return on Investment (SROI) process and framework is a robust structure for forecasting or evaluating services and projects where the direct financial return isn’t immediately obvious.
Not-for-Profit organisations use it to demonstrate the value they create in terms of health, wellbeing, and the environment. For example, keeping people healthy requires investment up front; the resources that would have been spent on this population because they needed hospital care can be balanced out as a return on that investment.
Increasingly commercial and for-profit organisations use SROI to measure the longer-term impact of their change programmes.
This presentation gives an overview of SROI, and then illustrates with a number of case studies in health and social care.
Personal Finance Professional Ethics & Standards of Practice - A Professional...milfamln
This webinar covers a high level introduction to the subject of ethics as a primer for understanding the basics of ethics (for those who may not have had any previous formal education or training in ethics). This will help to serve as a framework for approaching the discussion of case studies. A number of brief case studies will be presented, and participants will be given an opportunity to respond in text to questions posed about each case study, including how they might respond in these situations. We will then consider and discuss the case study scenario and our various responses.
Participate in a conversation about the challenges in running a top-performing CDFI loan fund. We will share our tips and experiences and learn how we can help you meet your performance goals.
The Effective Director (Series: Board of Directors Boot Camp 2020) Financial Poise
While we think of a board as a functioning entity, much of the success of the board relies on the individual behavior of its directors. During this program, we talk about some of the productive and problematic behavior that can show up in the boardroom, and the effect that it can have on board effectiveness. We look at what’s expected of directors from ownership and management, and share examples of the ways that a highly effective director can help to meet or exceed those expectations and make a meaningful contribution to the company’s success.
To listen to this webinar on-demand, go to: https://www.financialpoise.com/financial-poise-webinars/the-effective-director-2020/
Reinvent Performance Management into a Leadership ProcessHuman Capital Media
You’ve heard all the buzz and stats: A majority of organizations want to improve their performance management system. Many are getting rid of their ratings. Most are struggling with leaders who can’t coach or give feedback. Almost all agree that performance management is broken.
Have you been tasked to review your system? Are you stuck trying to figure out your next best move? Join us for a one-hour webinar to gain insights and ideas on how to reinvent your approach to performance management:
Transform it from a HR process to a leadership process
Recognize common pitfalls
Consider the science of human motivation
Change the goal of performance management to improved performance
CreativeCap Advisors is a marketing and investor relations consultancy with extensive knowledge and expertise on the investment management industry. The firm works extensively with newly launched funds to more established managers in helping to solidify their market position and attract new capital. The breadth of service offerings is a testament to the firm’s 360° approach to marketing and investor relations. It is complimented by a dedicated team who are focused on bringing their clients’ business to the next level. The firm takes a holistic approach to reviewing each business and generates a cohesive strategy tailored to each specific client. Through our affiliate networks around the world, the firm excels at elevating and positioning each fund in becoming the most attractive to varying types of capital. CreativeCap Advisors at the core is a business designed to assist and integrate with investment management firms by working alongside C-level executives who are seeking to further expand their business.
Contact For More Information: Tyra Jeffries, Founder + CEO | tyra.jeffries@creativecapadvisors.com
Four Feathers Management Solutions Ltd., Founded since 2012 is an Indian based professional management consulting company that helps small and medium enterprises to grow. We guide our clients to grow their business through top-notch business plans, creative branding and marketing solutions, events and promotions, attractive business proposals, financial projections and business presentations.
At Four Feathers, we help SME's fly to the top. We take care of all CEO's, Entrepreneurs and Business Owners to grow their business through our management consulting services and business opportunities across most industries in India and Abroad.
visit our website: http://www.fourfeathersgroup.com
Presentation: The Business of Blogging (for Lawyers)
Presented by: Gene Quinn, Patent Attorney and Founder, IPWatchdog.com
One of the primary reasons for undertaking a blog is to engage in business development of one kind or another. People who will find you online are searching for answers. If you want to capitalize on this opportunity it will be necessary to provide intelligent, insightful information that the reader did not possess prior to visiting your website. Over time your job will be to provide lots of that information that ties together little by little to demonstrate that you have a deep level of understanding. The lesson is simple: It is far better for a prospective client or customer to come to the understanding that you know what you are talking about for themselves than it is for you to tell them you know what you are talking about directly. It should go without saying, that the plan requires that you are read by others, which means you absolutely, positively cannot write like a lawyer!
Presentation: Content is Still King: A look at best practices for creating and distributing quality Content
Presented by: Scott Mozarsky, President - Cross Platform Businesses , Bloomberg BNA
This session will focus on best practices for creating Content that will enable marketers to achieve strong ROI in their Content Marketing efforts. The session will also focus on the elements of a multi-faceted engagement and distribution strategy that will ensure that if you build it, they will come.
Presentation: Use Storytelling to Define Your Brand and Connect on Social Media
Presented by: Tammy Mangan, Director of Marketing, Sterne Kessler Goldstein & Fox
Storytelling is not just for campfires. Good stories compel action, change, even forge relationships. This presentation will cover the fundamentals of storytelling and the use of stories to create a connection with your brand and services and grow business.
Presentation: Combining Eyes and Ears: The Visual Search for Social
Presented by: Aaron Hayes-Roth, VP of Strategic Alliances, Brandwatch & Mary Tarczynski, CMO, Ditto Labs
Photo sharing on social media only continues to grow as people capture and share their passions on a daily basis. This often includes brands - but when 85% of images don’t reference the brand name in the text, how can brands and agencies accurately measure and engage with their audiences? This session will cover some of the most common use cases for social and visual measurement and explore the insights and benefits brands and agencies can gain from using social listening and analytics across visual platforms.
Presentation: Digital Marketing Strategies to Drive Enrollment
Presented By: Jon Fox, President,Flightpath &
Jon Wexler, Vice President of Enrollment Management, Fairleigh Dickinson University
Jon Fox founded the agency that would become Flightpath in his Greenwich Village apartment in 1994. A veteran of twenty years of digital marketing, he is a recognized leader in helping organizations of all sizes maximize their investments across the web and broader channels. Jon is an exceptional business analyst focused on achieving measurable results for his clients. In his role as president, Jon drives the overall direction of Flightpath, oversees/guides digital strategy for a number of key accounts and works hard to develop and mentor his talented staff. Jon recently completed his 11th NYC Marathon. He lives in Brooklyn with his wife, kids and dog.
As the vice president of enrollment management for Fairleigh Dickinson University, Jonathan Wexler is regularly traveling across the country and around the world representing FDU! Over the past four years, Wexler has worked to increase applications for freshman and transfer admissions by more than 65 percent — while collaborating on new education initiatives — including Silberman College of Business’s Saturday MBA Program and the University-wide Combined Degree Advantage Program. Wexler received his bachelor’s degree at Goucher College in Baltimore, Md. before completing a master’s in higher education administration at University of South Carolina. He joined FDU in 2008.
Presentation: People are (S)Talking: How to Get Users to Participate, Not Just Spectate
Presented by: Donna Talarico-Beerman, Director of Integrated Communications, Elizabethtown College
Donna Talarico-Beerman has been helping tell the Elizabethtown College story since 2010. Her past experiences in radio, newspapers, eCommerce and education thrive together in happy harmony at E-town, where she is director, integrated communications. She manages the College’s official social media channels and is editor of Elizabethtown magazine and the online newsroom E-town NOW. She also collaborates with the rest of the award-winning marketing and communications team on marketing planning, media relations, copywriting and multimedia story-telling for a variety of projects.
http://www.bdionline.com/
Presentation: The Power of Social Listening
Presented by: Andrew Ruder,Senior Consultant & Social Business Intelligence, Brandwatch
Andrew Ruder is a senior consultant in social business intelligence for Brandwatch, one of the world’s leading social media monitoring providers, where he helps enterprise organizations develop strategies for solving business challenges using social media intelligence and analytics. A SaaS veteran, Andrew’s prior experience includes roles at companies including Cision/Radian6 and Sysomos, where he assisted both brands and agencies in implementing social media intelligence solutions. Andrew earned a bachelor’s degree in business administration from Marquette University and is a proud native of Chicago, where he lives with his wife and son.
http://www.bdionline.com/
Presentation: How Investors Will Communicate as the Internet Swallows Everything
Presented by: Leigh Drogen, Founder and CEO, Estimize
Collaboration between investors via the internet is changing the way investment decisions are made and critical research and data are sourced. In his talk, Leigh will provide an overview of how information flow between and amongst investors, companies, and the sell side is rapidly changing, the new platforms and philosophies which are facilitating this shift, and what it means for industry incumbents.
Presentation: The New Communications Paradigm in Financial Services: The Penn Mutual Case Study
Presented by: Kim Harmsen, Associate Vice President, Gregory FCA & Greg Matusky, President and Founder, GregoryFCA
Join Gregory FCA and The Penn Mutual Life Insurance Company as they present a blueprint for creating a best practice communications platform in a highly socialized, networked world. Penn Mutual provides a compelling blueprint for optimizing communication among media channels, both old and new. Their success serves as a shining case study for how long-term players in financial services can benefit from all that the new paradigm offers in communications, and now offers to financial service organizations.
http://www.bdionline.com/
Presentation: Social listening trends and the paradigm change in financial services
Presented by: Melissa King, Social Analytics Consultant, Brandwatch
Social media’s impact on the relationships between businesses and consumers has led to a defined shift in how the heavily regulated financial services sector interacts with customers. This session will address how FinServ professionals can leverage the insights uncovered via social listening tools (including ways to mitigate risk, what drives consumers’ decisions, and what motivates them to choose particular services) to make an impact, support customers, and generate revenue.
http://www.bdionline.com/
Presentation: Digital Financial Wellness: The Future of Money
Presented by: Mohamed Khalil, Head of Product, Data & Marketing, Moven
Mobile technology coupled with data and behavioral sciences now allow for highly personalized, real time interactions that alter consumer behaviors. This talk will examine how the retail financial services model must adapt to survive this digital disruption.
http://www.bdionline.com/
Presentation: Bitcoin & The Sharing Economy
Presented by: Nikos Bentenitis, Chair, Education Committee, Bitcoin Foundation, and Founder, CoinSimple
Bitcoin is a digital currency and payment network that has attracted significant attention recently. In his talk, Nikos will briefly describe Bitcoin and a few potential applications of the technology in financial services. The purpose of the talk is to provide you with a framework that you can use to think about the Bitcoin technology in your business.
http://www.bdionline.com/
Presentation: Hearts, Heads and Hands: How cupcakes, sidewalk chalk, and the story of a teen driver connected a CEO with his workforce and connected the workforce to the company strategy.
Presented by: Stephani Gordon, Internal Communications Business Partner to the CEO, Zurich Insurance Group
With an employee demographic that trends outside the ‘social’ scene, Zurich Insurance Group has achieved tremendous communications and engagement success by refreshing traditional marcomm channels with enticing storytelling, strong visual imagery, creative video and ‘social’ buzz. Stephani Gordon will share several executive communications project samples that include a strategy rap, a mobilization campaign built on the concept of graffiti tagging, and a CEO’s invitation to people to ‘walk away’ from their desks. This presentation is the story of coaching senior executives on what it means to connect in today’s world.
Presentation: Content is still King: A look at best practices for creating and distributing quality Content
Presented by: Scott Mozarsky, President - Cross Platform Businesses , Bloomberg BNA
This session will focus on best practices for creating Content that will enable marketers to achieve strong ROI in their Content Marketing efforts. The session will also focus on the elements of a multi-faceted engagement and distribution strategy that will ensure that if you build it, they will come.
Presentation: Developing and Sustaining an Effective Mobile Strategy
Presented by: Varun Parekh, Director, Sales Technology & Operations, Bankers Life and Casualty
A look into how Bankers Life has invested in an integrated and long term mobile strategy to grow business and reduce expense.
Presentation: Make Friends First, Do Business Last: Relationship Marketing Using Social Media & More
Presented by: Phil Gerbyshak, Director of Social Strategy, Actiance, Inc
Are you wondering how you can do social media the right way, without pushing your products and services? Do you want your company and your employees to be top of mind when people are thinking of where to go for what you offer? The key is making “friends” first, and doing business last. It's no longer enough to just BE on social media as a business. You need to be using it effectively, and you need to engage your employees to tell your stories and show you as the place to go in your community.
Presentation: The New Communications Paradigm in Financial Services: The Penn Mutual Case Study
Presented by: Joe Anthony, President, Financial Services, GregoryFCA
Join Gregory FCA and The Penn Mutual Life Insurance Company as they present a blueprint for creating a best practice communications platform in a highly socialized, networked world. Penn Mutual provides a compelling blueprint for optimizing communication among media channels, both old and new. Their success serves as a shining case study for how long-term players in financial services can benefit from all that the new paradigm offers in communications, and now offers to financial service organizations.
Presentation: Using Social Media Ethically
Presented by; Erin Wright Lothson, Corporate Counsel, Intellectual Property, Groupon, Inc.
This segment will briefly discuss the Illinois Rules of Professional Conduct and how these Rules apply to Illinois lawyers and their use of social media. We will review common issues that arise by using social media and will cover recommendations and best practices to mitigate the risks of an ethics violation.
Presentation: The Power of Social Media: Attracting the Next Generation of Clients
Presented by: Trevor Daughney, VP Marketing, Actiance, Inc
The most important thing sellers can do for their firm is bring in new clients. There is a major movement of wealth a foot: from Baby Boomers to Millennials. Financial advisers and wealth managers need to shift their focus to a younger generation. To be successful, they need to change how they communicate.
In this presentation, you’ll learn that:
These young people are increasingly on social networks and stepping away from email.
Financial firms need to adjust to this change.
Marketers, compliance officers and corporate counsel can overcome the challenges and lead their firms to make the switch.
Empowering your sellers to use social media can help close more deals.
The Power of Social Media: Attracting the Next Generation of Clients - BDI 9/...
Social Media for Registered Investment Advisers - BDI 3/6 Financial Services Social Business Leadership Forum
1. Social Media
for Registered Investment Advisers
Deb Tobin, Compliance Manager
Financial Engines Advisors L.L.C.
March 6, 2014
For overview purposes only. Information provided for evaluation and informational purposes only, and does not constitute and should not be construed as
operational, inivestment, legal or tax advice. Financial Engines Advisors L.L.C. is a federally registered investment advisor and wholly owned subsidiary of
Financial Engines, Inc. Financial Engines does not guarantee results and past performance is no guarantee of future results. Financial Engines disclaims any
liability arising from your use of this information. Views expressed are as of today’s date and may change based on market and other conditions. Unless
otherwise noted, the opinions provided are those of the speaker/author and not necessarily those of FE. CPY11006
2. 2
Agenda
Key Takeaways
RIA’s – what’s all the fuss about?
Investment Adviser Advertising Guidelines
SEC OCIE Risk Alert
What will it take to make it happen?
Effective Governance
Where do you want to go?
Train….. train…. and train again
We’ve arrived….. Now what?
3. 3
Key Takeaways
For marketing people:
• Figure out what matters
to Compliance
• Learn the language
• Communicate, early and
often
For compliance people:
• Figure out what matters
to Marketing
• Learn the language
• Communicate, early and
often
4. 4
RIA’s – what’s all the fuss about?
Investment Advisers Act
• Rule 206(4)-1 – The Advertising Rule
SEC No Action Letters
• Clover Capital Management, Inc., October 28, 1986
FINRA guidance
• Regulatory Notice 10-06, Social Media Websites
• Regulatory Notice 11-39, Social Media Websites and Use of Personal
Devices for Business Communications
5. 5
Investment Adviser Advertising Guidelines
• No false or misleading statements
• Do not make promises we cannot keep
• Avoid absolutes
• Testimonials are generally prohibited
• Performance information
• Cite sources
• Use trademarks and service marks properly
6. 6
SEC OCIE Risk Alert: Investment Adviser Use
of Social Media, January 2013
Key Takeaways
Investment advisers that use or permit the use of social media by their
representatives, solicitors and/or third parties should consider periodically
evaluating the effectiveness of their compliance program as it relates to social
media. Factors that might be considered include usage guidelines, content
standards, sufficient monitoring, approval of content, training, etc. Particular
attention should be paid to third party content (if permitted) and recordkeeping
responsibilities.
Highlights
• Usage guidelines Content standards & approval
• Monitoring & frequency Firm resources
• Training Criteria for approving participation
• Certification Functionality
• Personal/Professional sites Information security
• Enterprise-wide sites
7. 7
What will it take to make it happen?
Crawl … Walk …. Run!
Consider conducting a Risk Assessment
• Current exposure
• Firm level
• Employee/rep level
• Tools
• Archiving
• Monitoring
• Resources
• Training
8. 8
Effective Governance
Policy Creation and Management
• Compliance, Legal, HR, Business, Technology
• Committee structure
Structure
• Focused Social Media Policy
• Combined SM Policy with Electronic Communications Policy
• Combined SM Policy with HR Code of Conduct Policy
Create a Social Media Strategy
9. 9
Where do you want to go?
Where are your customers?
• Blogs
• LinkedIn
• Twitter
• YouTube
• Facebook
General features
• Profiles
• Email, IM, Chat
• Recommendations, Endorsements, Liking
10. 10
Train….train…..and train again
Who do we train?
• Access persons
• Licensed reps
• Managers or supervisors
• Compliance reviewers
• All employees
How often do we train?
• Annual Compliance Awareness
• Social Media training
Other approaches
• Attestations
• Certifications
11. 11
You’ve arrived!
Monitor
• Technology changes
• New site features or enhancements
• New sites
Regulatory updates
• SEC guidance
• FINRA guidance
Re-assess effectiveness and potential gaps
Adjust approach
Train again
Now what?
12. 12
Key Takeaways
• Figure out what matters to one another
• Learn the other’s language
• Communicate, early and often
14. 14
About Financial Engines
Cerulli Associates, The Cerulli Edge—Retirement Edition, 3Q 2013; data as of September 30, 2013.
Financial Engines, America’s largest defined contribution managed account provider*, is
dedicated to making high-quality retirement help available to everyone — regardless of
how much money they have. We’re proudly independent, which means we don’t sell
products or earn commissions based on our investment recommendations. The
companies that choose to work with us offer our services to their workers as a valuable
employee benefit.
Co-founded in 1996 by Nobel Prize-winning economist Bill Sharpe, Financial Engines
currently offers personalized advice for saving, investing and living in retirement to
millions of workers nationwide. Our strong ties with employers give us a unique
opportunity to form direct relationships with their employees.
Some people love the challenge of investing. Others prefer to focus their time elsewhere,
but everyone needs to plan for retirement. Whatever their interest level in investing,
Financial Engines combines cutting-edge technology and a personal, human touch to
help all types of investors reach their retirement goals. For more information, visit
www.financialengines.com.