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Twitter evolving; you should, too

May 4, 2014

As users of Twitter are already aware, within the past few weeks the company has rolled out major changes to the look, feel and functionality of the site. With a large majority of the population being visual in nature, Twitter saw the need to...

How to respond to online reviews

May 2, 2014

With new regulatory guidelines regarding online reviews, financial advisers must be prepared to respond to the feedback their clients publicly give, according to Hearsay Social CEO Clara Shih.

A new planning tool for advisers challenges clients to win a game

May 2, 2014

Ahead of the big financial and banking technology conference Finovate Spring 2014 April 29-30 in San Jose, Calif., I met up with FlexScore chief executive Jason Gordo in New York for a demo of his new online investment adviser tool. Mr. Gordo...

4 steps to expand your business on social media

May 2, 2014

Social media needs to be a core part of practice management and should not be delegated, according to Hearsay Social CEO Clara Shih. Here, she outlines ways to successfully cut through the noise to get clients' attention.

LinkedIn endorsements still a 'legal quagmire,' despite SEC guidance

May 1, 2014

Despite recent Securities and Exchange Commission guidance on social media use by advisers, compliance in regard to LinkedIn endorsements remains a murky issue, experts say. “It's a legal quagmire,” said Crystal Thies, a former financial...

Ranking the industry's top tech vendors

April 30, 2014

Adviser custodian TD Ameritrade Institutional announced its first-ever technology award winners this week, naming six innovative tech companies that excel in maximizing the capabilities of TDAI's Veo open access platform. Three award categories...

Sell in May and go away?

April 30, 2014

For investors watching the calendar, it's decision time. Should you “sell in May and go away”? All you need to know about the Fed's announcement today. A Fed-watcher's guide to FOMC day: Steady taper, green shoots Investors can learn some...

Cybersecurity landscape gets rocky in 2014

April 25, 2014

Even before the Heartbleed bug struck fear into online account users this month, advisers and their clients were waking up to the fact that cyberthreats to financial firms are on the rise in 2014. JPMorgan Chase & Co. chief executive Jamie Dimon...

New LinkedIn program offers compliance with SEC and Finra regs

April 24, 2014

LinkedIn has launched a compliance program designed to help advisers and financial services firms meet SEC and Finra record-keeping and supervision requirements while using the popular networking website. Announced on Thursday, the LinkedIn...

Time to jump on the Yelp bandwagon? Not so fast!

April 23, 2014

In early April, the Securities and Exchange Commission published its IM Guidance Update 2014-4: Guidance on the Testimonial Rule and Social Media, which essentially paved the way for financial advisers to use third-party review sites like Yelp...

Latest Betterment, LearnVest fundraising elicits a Twitter firestorm

April 15, 2014

[View the story "Betterment, LearnVest and the robo-adviser landscape" on Storify]

Online rivals Betterment, LearnVest rake in $60 million of venture funding

April 15, 2014

Betterment and LearnVest on Tuesday both announced new rounds of funding that makes the two online advisory firms richer by a combined $60 million. Betterment closed on a $32 million round of Series C funding from new investors Northwestern...

Finally, some social-media ground rules

April 13, 2014

The Securities and Exchange Commission should be applauded for its new guidance on third-party review sites and financial adviser testimonials, and for clarifying what advisers can and can't do when it comes to client reviews that are posted...

Take the quiz: Are your client review tactics compliant?

April 9, 2014

Now that the SEC has allowed advisers to use third-party client reviews on their websites or social-media pages, it's time to figure out what kinds of uses will run afoul of industry regulators. Test your compliance knowledge with these five...

Adviser reviews coming soon to a website near you

April 9, 2014

Financial advisers should keep an eye open for a new form of client feedback that's on its way — public reviews. The guidelines issued last week by the Securities and Exchange Commission for how financial advisers can use testimonials in social...

Tackle those social-media faux pas

April 6, 2014

With more financial advisers diving in and compliance reins beginning to loosen, the financial industry is starting to make its mark in social media. Wirehouses and broker-dealers are beginning to allow their advisers a little more flexibility...

Why compliance is the "Green Eggs and Ham" of financial services

April 4, 2014

Compliance is not a word most people like. It conjures up images of endless boxes that must be checked, raps on the knuckles, stern-eyed regulators, red tape, pages and pages of documents in tiny, incomprehensible print. When it comes to compliance...

'User experience' top of mind at TechLeaders conference

April 3, 2014

Here's the first thing a financial adviser needs to know about the TechLeaders conference: The annual broker-dealer technology meet-up is all about how to serve the needs of advisers, yet few advisers actually attend. Instead, the 100 or so...

After troubled start, Morgan Stanley tech platform stabilized

March 31, 2014

After facing an uphill battle when he joined Morgan Stanley less than a year ago, Chris Randazzo, the wirehouse's chief information officer for Global Wealth Management and Investment Management, has finally succeeded in delivering a stable...

Which (if any) adviser social networks are coming out on top?

March 25, 2014

Here's the good news: Compliance-conscious financial advisers can choose from a number of offerings when seeking online social networks to connect with peers, clients and prospects. Also available are services to help advisers create and store...

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