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IT AND COMPLIANCE POSTS

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Tips for Asset Management Firms in France to Implement AMF’s Guidance on Social Media Usage

Autorité des Marchés Financiers (“AMF”), the French regulator for financial markets, has recently updated its rules to clarify its policy on social media usage by asset management companies and debt securities issuers (“Regulated Firms’). The final ruling by AMF follows a recent consultation that was opened up to the public in October 2015, Hearsay Social […] Read more >
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How U.S. Advisors Can Drum Up Business by Texting [Infographic]

Considering 90 percent of text messages are read within three minutes of delivery, texting represents one of the most powerful communication channels today. For advisors and agents, it can be a powerful tool for converting prospects into clients and strengthening ties with existing clients to grow business. Take a look at the following infographic for important stats on advisor-client […] Read more >
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Hearsay Innovation Summit 2016: What’s Next for Financial Services?

We’re honored to host nearly 100 executive leaders and startup thinkers from the financial services industry and beyond for a day of thought-provoking discussion about the future of financial services products, distribution and the new customer experience. Read more >
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The Social Business Imperative: Eight Years Later

When I wrote my first book back in 2008, social networks were just getting off the ground. What a long way we have come. Today, you’d be hard-pressed to find someone who doesn’t believe in social media’s profound impact on every aspect of work, life, and society. As consumers, we live the social, mobile, and digital transformation every day – from the moment we wake up and scroll through Facebook to when we tweet the world good night just before falling asleep. Read more >
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Is Your Firm Ready for the Rigorous Requirements of MiFID II?

Consistent with the recent overhaul of the EU regulatory framework for financial services, the European Commission has issued updated rules for Markets in Financial Instruments Directive (“MiFID II”), which takes effect on January 3, 2018 for all 28 EU member states.  While the effective date of compliance has been delayed, firms should prepare to work […] Read more >
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The DOL Ruling: 3 Implications for the Advisor-Client Relationship

The Department of Labor (DOL) has finally redefined who will be held to the “fiduciary standard” concerning retirement investing advice and how it’s applied. Yesterday’s long-awaited ruling—which requires registered investment advisors, brokers, and insurance agents (collectively “advisors”) to act in the best interest of their clients—has huge implications that will affect the advisor-client relationship for years […] Read more >
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5 Texting Tips for Increasing Lead Conversion

According to a study by Morgan Stanley, a whopping 91 percent of adults keep their smartphones within arm’s reach. Here are five text messaging tips for financial advisors to help turn prospects into clients. Read more >
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