Financial Services firms today live in a heavily regulated environment. All marketing and communications must adhere to stringent federal & state regulatory compliance guidelines and practice. From retaining data and electronic messages, misleading printed material, misrepresentation in prospectuses, failure to disclose minute details of a financial vehicle, transparency, trade reporting, etc., the list is endless. Failure to comply may result in hefty fines, imprisonment, loss of licenses or all of the above, for the Financial Services professional and for the Firm.
In order to be competitive, proactive and ahead of the sales / advisement curve, professionals must have a two-way dialogue with their prospects and clients and they must conduct that dialogue where their clients spend their time. Clients spend hours per day inside Social Media sites; they assemble their research, they listen to a friend’s advice, they open online accounts, they compare rates, in short, their decisions live inside their Social Media “homes”……
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