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IT AND COMPLIANCE POSTS

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The UK’s New FCA Guidelines: What It Means for Advisors (Part 2)

By including what we consider to be the three vital elements of any best practice social campaign, the FCA guidance provides firms – and other European regulators – with a solid foundation on which to base their own social media policies: Read more >
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New Universal Supervision Experience Streamlines Compliance Workflow

We are excited to announce today the new universal supervision experience available to compliance and supervision users of our Predictive Social Suite. The universal supervision experience is a contextual review interface that makes the process of monitoring and reviewing advisor social media and website content significantly more efficient. We built the new universal supervision experience […] Read more >
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Social Media Compliance: Yes, You Can Be Both Social and Compliant

Advisor use of social media is on the rise – and not just for connecting with friends and family. Today’s social, mobile, and web technologies are changing they way we live and work, including the way people give and receive financial advice. Recent studies show that more than 40% of high-net-worth individuals cite social media as important for accessing information on financial products or services. This creates opportunities for advisors to engage clients and prospects and deepen relationships using social media – and this can be done all while staying compliant. Read more >
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The UK’s New FCA Guidelines and What It Means for Advisors (Part 1)

Back in mid-March, the FCA (Financial Conduct Authority) finalized its guidance on financial promotions over social media channels. The guidelines, which were the result of extensive engagement and consultation with stakeholders from across the financial services industry, have been designed to provide further clarity to financial advisers which have – until now – had little explicit direction on how to ensure their social media campaigns remain compliant. Read more >
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A Quick Guide to Understanding Canada’s Anti-Spam Law and Social Media Compliance

Canada’s Anti-Spam Legislation (CASL), which went into effect July 1, 2014, has many business owners wondering what it means to individual businesses. As we discussed in our prior post, the new law requires businesses to have consent to send “commercial electronic messages” (CEMs) via email, text, and social media. Businesses that don’t comply with CASL could face serious penalties. Read more >
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Announcing New Hearsay Social Mobile Apps for iPhones and Android Devices

We launched two new mobile apps this year. With the apps for iPhone and Android devices advisors can use the Predictive Social Suite to engage with their clients and prospects on the go. Read more >
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UK’s FCA Sets New Rules on Social Media Use

The Financial Conduct Authority (FCA), the UK’s regulatory body, recognizes the importance of managing social media in the financial services industry, and has recently published its guidance on using social media for financial promotions. Read more >
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