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The socially savvy advisor





ForewordAcknowledgmentsOne: The New Business EnvironmentHow Is Social Media Changing Investor Behavior?HOW INVESTORS ARE GETTING SOCIALINVESTORS ARE DEMANDING MORE WITH TRANSPARENCY AND REAL-TIME ACCESSWHAT INVESTORS REALLY WANT: FIND THEIR ADVISORS ON SOCIAL MEDIAWhat Are Social Media's Implications for the Financial Industry?SITTING OUT THE GAME?FINANCIAL ADVISORY WORLD IN FLUXFOUR OBSTACLES TO GREATER SOCIAL MEDIA ENGAGEMENTWHAT DOES THIS MEAN FOR THE INDUSTRY, CEOs, CCOs, AND MARKETERS?WHAT THE FUTURE HOLUSWhat Are the Tensions Between Social Media and Regulation?THREE REASONS WHY ADVISORS FEEL REGULATORS MAKE SOCIAL MEDIA DIFFICULTWHAT REGULATORS COULD DO TO MAKE SOCIAL MEDIA EASIERA DEFENSE: POLICIES IN PLACETHE REAL BARRIER: REGULATORS OR INDUSTRY?SOME FINAL THOUGHTSAre the Risks of Using Social Media Worth the Benefits?SOCIAL MEDIA'S SHIFTING WINDS IN FINANCIAL ADVISORYFOUR SOCIAL MEDIA RISKS AND SOLUTIONSSocial EnduranceReputation ImpactRecordkeeping and AdvertisingMillennial Hiring RiskHow Will Social Media Change Our Industry in 10 Years?GET READY: MORE CHANGE IS COMINGA 10-YEAR LOOK: HOW THE FINANCIAL INDUSTRY WILL CHANGEEIGHT PREDICTIONS FOR THE NEXT DECADECHARTER 6. What Are the Biggest Social Media Myths?Two: The Regulatory EnvironmentWhat Are the Top Challenges Compliance Officers Face?WHAT CCOs SHOULD KNOWFIVE KEY CCO CHALLENGESWHEN TO CALL FOR HELPWhat Does FINRA Say about Social Media?THREE NEW AREAS OF FINRA GUIDANCECHOOSING YOUR CONTENT: STATIC VERSUS INTERACTIVEA FIIMRA SWEEP OF ADVISOR PRACTICESNEW CYBERSECURITY INITIATIVEWhat Does the SEC Say about Social Media?SEVEN NEW GUIDELINES THAT CCOs SHOULD KNOWTESTING FOR TESTIMONIALSA LOOSER INTERPRETATIONTHREE CLARIFICATIONS ON EARLIER GUIDANCEWhat Gets Financial Professionals into Trouble with Social Media?REMEMBER THE GROUND RULESREMEMBER: THERE'S RISKDRAWING LINES BETWEEN BUSINESS AND PERSONALFOUR WAYS TO MANAGE SOCIAL MEDIA RISKKEYS TO HANDLING BAD CONTENTHow Do We Create a Social Media Policy?FIVE STEPS TO STARTING YOUR POLICYFIVE POLICY ELEMENTS THE SEC LIKES TO SEE * 1THE THREE "Ss" OF A SOCIAL MEDIA POLICY Three: Key Playing Fields in Social MediaHow Can We Use LinkedIn?FIRST, WHAT EXACTLY IS LIIUKEDIIU?WHY IS LIIMKEDIIM DIFFERENT FROM OTHER SOCIAL NETWORKS?THREE STEPS TO GETTING STARTED ON LINKEDINOptimize Your LinkedIn ProfileBuild Your NetworkCreate a LinkedIn Company Page for Your BusinessTHE PROBLEMATIC ENDORSE FUNCTIONHow Can We Use Facebook?SEVEN WAYS TO START ON FACEBOOKHow Can We Use Twiner?TWITTER IN FINANCIAL SERVICESHOW TO GET STARTED WITH TWITTERWHAT TO TWEETWHAT NOT TO TWEETHow Can We Use YouTube?SIX TIPS FOR STAYING COMPLIANT ON YOUTUBEEIGHT WAYS FINANCIAL PROFESSIONALS ARE OSING VIDEOSIX STEPS TO GETTING STARTED WITH VIDEOCASE STUDY: MATSON MONEYHow Can We Use Google+?What Other Social Media Platforms Can Professionals Use?INSTAGRAMHow Can I Use Instagram in Financial Services?PINTERESTHow Can I Use Pinterest For Financial Services?SLIDESHAREWhy Would I Use SlideShare for Financial Services?SKYPEHow Can I Use Skype for Financial Services?VINEHow Can I Use Vine for Financial Services?Four: Marketing and Business DevelopmentHow Do We Decide Which Social Media Platforms to Use?THREE QUESTIONS TO ASK . . . AND IT ALL STARTS WITH COMPLIANCEA CASE: CHOOSING THE RIGHT PLATFORMSTHREE STEPS TO CHOOSING THE RIGHT SOCIAL MEDIA PLATFORMSHow Do We Integrate Social Media with Overall Marketing?THE CHALLENGES OF UNIFYING SOCIAL MEDIA WITH OVERALL MARKETINGTWO APPROACHES TO INCORPORATING SOCIAL MEDIA INTO MARKETINGTHE NEW MODEL: GETTING YOUR FIRM REHIND A SOCIAL MEDIA PROGRAMTHREE SOCIAL MEDIA ELEMENTS OF MARKETINGPUTNAM RETAIL: ASSET MANAGER MOVING FROM TRADITIONAL TO DIGITAL MEDIAA SMALL ADVISOR AND HIS BIG-TIME MARKETING PLANFIVE WAYS TO GIVE SOCIAL MEDIA LEGS TO YOUR MARKETING EFFORTSHow Do We Measure Social Media ROI?DEFINING SUCCESS WITH ROI AND KPITHREE STRATEGIES TO MEASURING YOUR SOCIAL MEDIA ROIWhat Types of Content Work Best?THE BENEFITS OF CONTENT MARKETINGSIX STEPS TO SUCCESSFUL CONTENT MARKETINGHow Do We Use SEO to Reach Key Audiences?THREE WAYS SEO IS CHANGING RIGHT NOWA CASE STUDY: HERON FINANCIAL GROUPTOP MISTAKES THE FINANCIAL INDUSTRY MAKESFIVE KEYS TO BUILDING SEO-FRIENDLY CONTENTMULTIPLE OFFICES? HOW A FIRM OR ADVISOR CAN REACH LOCALLY VIA SEOWHEN TO HIRE HELPHow Can We Leverage Paid Social Media Promotions?WHY PAID PROMOTIONS MAY BE BENEFICIALSTEPS TOWARD STARTING YOUR PAID SOCIAL MEDIA CAMPAIGNNETWORK-SPECIFIC ADVICEHow Do We Avoid Copyright Problems?MASTERING THE RULES OF FAIR USESTANDARDS FOR USING PHOTOS AND GRAPHICSHow Do We Track and Defend Our Reputation on Social Media?KEY METHODS TO MANAGE AND ENHANCE YOUR WEB PRESENCEDUKIIMG IT OUT IN THE SOCIAL WORLDHow Can We Use Social Media to Promote Our Events?CREATE A SHAREABLE STORYHOW TO FIND INFLUENCERSFor LinkedInFor TwitterFor FacebookINFLUENCERS: A NEW MINDSETIT'S NOT JUST ABOUT TEXTPROMOTING YOUR EVENTS VIA SOCIAL MEDIADo We Need a Social Media Manager?SO WHAT DOES A SOCIAL MEDIA MANAGER DO?HOW CAN ADVISORS AND ASSET MANAGERS FURTHER BENEFIT FROM HIRING A SOCIAL MEDIA MANAGER?HOW DO I KNOW IF I SHOULD HIRE SOMEONE TO MANAGE MY SOCIAL MEDIA?WHAT SHOULD ADVISORS OR ASSET MANAGEMENT FIRMS LOOK FOR IN A GOOD SOCIAL MEDIA MANAGER?Five: Client ServicingFOUR FACTS TO KNOWOVERCOMING CHALLENGES IN THE FINANCIAL INDUSTRYSCHWAB: A CLOSER LOOKCAN SOCIAL CARE HELP YOU SAVE TIME AND MONEY?FIVE KEY STEPS TO SETTING UP CLIENT SERVICING ON SOCIAL MEDIAHow Can We Use Social Media to Create Client Groups?THE BIGGEST MARKETING MISUNDERSTANDING ABOUT SOCIAL MEDIAFIVE STEPS TO CREATING SOCIAL MEDIA GROOPSPARTY VENUES: LINKEDIN, FACEBOOK, TWITTERBEST PRACTICES WITH GROUPSHow Do We Prevent Competitors from Poaching Our Clients on Social Media?THREE WAYS TO PROTECT YOURSELF FROM POACHINGCLUES TO TIP YOU OFF TO POACHERSLEAVING ON GOOD TERMS – AND GETTING YOUR CLIENT BACK?Six: Managing Social Media CompliantlyWhat Are the Investor-Protection Rules as They Relate to Social Media?FOUR SERVICES THAT DRAW SEC ATTENTIONRECURRING PROBLEMS IN SEC EXAMINATIONSHow Can We Comply with Making Securities Recommendations Through Social Media?THE TROUBLE WITH RECOMMENDATIONSSOLVING THE SUITABILITY PROBLEM IN SOCIAL MEDIAAN ADVISOR'S RESPONSIBILITY FOR BLOG RECOMMENDATIONSFIVE THINGS ADVISORS SHOULD KNOW WHEN MAKING RECOMMENDATIONSHow Can We Pre-Approve Content?WHAT'S DRIVING THE SHIFT AWAY FROM PRE-APPROVED CONTENT?THE RISKS OF PRE-APPROVING CONTENTA STEPPING STONE: THE PROS OF PRE-APPROVINGRAYMOND JAMES' SOCIAL EVOLUTIONAPPROACHES TO PRE-APPROVED CONTENTA NEXT STEP: EDUCATIONHow Can We Comply with Rules Related to Testimonials, Endorsements, and Advertising?HATING THE LIKE BUTTONOVERSEEING WHAT'S SAID ON SOCIAL MEDIAFIVE CONVERSATIONS THAT DON'T REQUIRE FILINGTWO CONVERSATION TOPICS THAT ADVISORS MUST FILEHow Can We Spot-Check Employee Behavior on Social Media?BUSINESS USE OF PERSONAL WEBSITESTHE REGULATORS ARE SEARCHING ON SOCIAL MEDIAWhat Cybersecurity Mistakes Should Advisors Avoid?WHAT CRIMINALS GAIN AND CONSUMERS LOSEIMPLICATIONS FOR ADVISORS AND ORGANIZATIONSA CLOSER LOOK AT THE RISKSWHAT FINRA AND THE SEC SAYNOT HIP TO HACKERS? THREE RISKS FOR ADVISORSKEY MOVES TO WARD OFF RISKSOTHER SOCIAL MEDIA PROTECTION TIPSTHE FUTURE OF CYBERSECURITYHow Does the JOBS Act Impact Social Media and Hedge Funds?WHO WANTS TO BUY A PLACEMENT?A TECH UPGRADE FOR PRIVATE INVESTMENTHow Will Social Media Change the Role of the CCO in the Years Ahead?THREE AREAS OF CHANGE FOR CCOsA RISING TIDE OF COSTSA CHANGING ROLE FOR CCOsAPPENDIX: Sample Social Media PolicyAbout the AuthorAbout the ContributorsAbout the Companion Website
 
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