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Mike Langford
Morgan Stanley’s recent decision to loosen the reign for their financial advisers on Twitter is the latest in a long list financial services social media case studies. Last December, FINRA fined Barclays $3.75M for system is record keeping and email retention failure. And last June, the regulator warned investors against trading on “pump-and-dump” emails. The finance industry has their social media conferences and consultants.

Because of specific finance industry rules and regs like FINRA 10-06 and 11-39 and SEC Risk Alert: Investment Adviser Use of Social Media, using social media in financial services must be in accordance with applicable advertising, account origination and document retention requirements.
 
Mike Langford (@MikeLangford) is the CEO of finservMarketing and a financial services industry veteran with 20 years of experience in roles spanning customer service, finance and investment advice and management at Fidelity Investments, State Street Corporation, The Pioneer Group and BFDS.  In this episode, he expalins how Certified Financial Planners, Investment Advisers and Bankers can use social media effectively and responsibly.
Social Media for Financial Services Topics Discussed:
 
  • Who regulates how financial service companies use social media
  • Difference between social media guidelines and actual, enforceable law
  • Social media compliance requirements for financial services providers
  • How to satisfy social media archival and supervisory requirements
  • Responsibilities for financial services over static vs. interactive social media posts
  • Best practices for originating new accounts on LinkedIn, Twitter and Facebook
  • Regulating advertising and public appearances, which social media is considered
  • Avoiding adopting or becoming entangled with social networking sites
  • Compliance through policy and social media training for financial services
  • How to make you’re prepared to comply with random FINRA spot checks
  • And much, much more
About the Podcast:
On the Record...Online is an award-winning podcast launched in 2005 by Eric Schwartzman, CEO of social media compliance training provider Comply Socially, which helps employers manage the risk and capitalize on the opportunities of social media in the workplace.  Follow the podcast on Twitter @ontherecord and follow him @ericschwartzman.


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Ideally, you want someone with a neutral point of view editing Wikipedia entries, not PR firms clandestinely gussying up their client’s pages.  PR has a conflict of interest. But that doesn't mean they can't also help improve the accuracy of Wikipedia entries or that they shouldn't have a right to do so.
 
It’s been an issue for a while now, because if a PR representative wants to alert a Wikipedia editor to an inaccuracy on a client’s entry, there’s no clear process for ethical engagement.
 
In January 2012, Phil Gomes (@philgomes) wrote an open letter to Jimmy Wales to initiate a rational discussion about how public relations can effectively contribute to Wikipedia entries.
 
 
In February 7, 2014, William Beutler (@BeutlerInk) managed to convene a meeting of digital leaders for the world’s leading PR agencies, academics and Wikipedia editor volunteers to address issues of transparency and disclosure surrounding the ethical participation of corporate representatives to improve the accuracy of their respective entries.
 
On June 16, 2014, Edelman, Ogilvy & Mather, Burson-Marsteller, FleishmanHillard, Ketchum, PNConnect, Peppercomm and Allison + Partners affirmed a commitment to abide by Wikipedia principles and endeavor to ensure that employees and clients do the same.
 
And finally, Wikipedia updated their terms of use to "clarify strengthen the prohibition against concealing paid editing on all Wikimedia projects.”
 
In this episode, Phil Gomes and Sam Ford discuss the history and impact of the PR industry’s joint statement to abibe by Wikipedia’s terms of use.
 
Phil Gomes’ successful career in the communications field is characterized by his passionate interest in technology, media, and emerging forms of communication. He serves as a Senior Vice President with Edelman Digital.
 
Sam Ford (@Sam_Ford) is Director of Audience Engagement with Peppercomm, an affiliate with both MIT Comparative Media Studies/Writing and Western Kentucky University, and co-author of Spreadable Media.
 
Reference Links:
 
About the Podcast:
On the Record...Online is an award-winning podcast launched in 2005 by Eric Schwartzman, CEO of social media compliance training provider Comply Socially, which helps employers manage the risk and capitalize on the opportunities of social media in the workplace.  Follow the podcast on Twitter @ontherecord and follow him @ericschwartzman.
 


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Most people think social media compliance is just for regulated industries. And it's true that regulated industries do have more rules to comply with. 
 
But social media compliance is everybody’s business.
 
Whether you’re business is regulated or not, there are dozens of federal and state regulations and local ordinances that dictate how you can and can’t use social media lawfully for business.
 
In this podcast, Chris Kieff (@ckieff), Director of Sales Support and Operations, Sprinklr and Eric Schwartzman (@ericschwartzman), CEO of social media compliance training provider Comply Socially reveal strategies for building trust and verifying compliance.http://complysocially.com/online-social-media-policy-training/
 
Up to now, that strategy for winning social media compliance at most companies has been to issue a social media policy.
 
But no one reads your social media policy. They sign for it, and put in the bottom drawer.
 
Despite the fact that 80% of employers have social media policies, 70% have disciplined employees for social media misuse, research shows.
 
We'll also walk through the major US rules and regs that impact how organizations can and can’t use social media lawfully in the workplace.
 
 
Enterprise Social Compliance Topics Covered:
  • Trust gap between leadership and regular employees
  • Optimizing the impact of official voices on unofficial voices
  • Creating a workplace environment where employees are trusted
  • What GM did wrong when they tried to rebuild trust with social
  • Inspiring employees to serve as goodwill ambassadors
  • Managing the risks associated with employee advocacy programs
  • Why social media policies don’t prevent employee misuse
  • Unmanaged risks around encouraging employees to use social media
  • Teaching employees about the risks of noncompliant social media use
  • Fines and penalties of noncompliant social media use
  • NLRB and how employers can police social media use at work
  • Computer Fraud and Abuse Act
  • Communications Decency Act
  • Digital Millennium Copyright Act
  • FTC Disclosure Guidelines
  • FDA, HIPAA, FINRA and FFEIC Guidelines
  • And much, much more
 
Download;
 
About the Podcast:
On the Record...Online is an award-winning podcast launched in 2005 by Eric Schwartzman, CEO of social media compliance training provider Comply Socially, which helps employers manage the risk and capitalize on the opportunities of social media in the workplace.  Follow the podcast on Twitter @ontherecord and follow him @ericschwartzman.
 
 


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If your social media policy requires your employees to include a disclaimer in their social media posts that their opinions are their own, that's unlawful, according to a US Federal judge who called the restriction “unreasonably burdensome." How can you include a disclaimer in a Facebook Like anyway?
 
The development is the latest in a series of decisions by the NLRB, which has been challenging employers to reconsider whether or not they have the right to dictate how their employees use social media at all.
 
Jonathan Crotty, partner at the law firm Parker Poe in Charlotte, who an article about this new development explains:
 
  • Why restricting employers from requiring an “opinions are my own” disclaimer is unlawful
  • How the decision impacts corporate social media policies
  • How required disclaimers might chill workers rights to organize and bargain collectively
  • Impracticality of complying with required social media disclaimers
  • Why restricting employees from using logos and trademarks is also unlawful
  • How the NLRA. which was enacted in 1930. governs social media usage today
  • How employers should react to this development
  • And much, much more
About the Host:
 
Eric Schwartzman is CEO of social media compliance training provider Comply Socially, which helps employers manage the risk and capitalize on the opportunities of social media in the workplace.  Follow him on Twitter @ericschwartzman.


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doc-vio-image
 
The number of social media policy violations by employees has doubled over the last 16 months, according to the 2014 Social Media in the Workplace Survey.
 
Ann Handley didn't violate anyone's social media policy, and those aren't schadenfreude likes from Beth, Shel and Richard. They're only there to demonstrate what kind of screen capture you need to take of a Facebook post if you're documenting a social media policy violation.
 
Don’t get us wrong.  We love social media and value free speech. We’re not condoning violating anyone’s personal privacy rights or their rights to discuss wages, hours and working conditions concertedly.
 
Used effectively and responsibly, numerous research reports show that social media increases profitability, productivity and job satisfaction.
 
But when social media is used by workers who haven't been taught to play the social media compliance game, violations are more likely to occur. And enforcing a social media policy requires proof of a violation.
 
With social networking as popular as it is, social media misuse has become one of the costs of doing business. This show is about documenting misuse when it occurs, before it's removed.
 
We talk to former broadcast journalist and Red Cross public affairs officer Ike Pigott (@ikepigott) -- who currently serves as communications strategist to Alabama Power (@AlabamaPower) -- who walks us through what he’s learned in the trenches about documenting social media policy violations.
 
Best Practices for Documenting Social Media Policy Violations Discussed:
 
  • Overcoming social media policy enforcement challenges
  • Job titles that typically enforce social media policy
  • Required skills for enforcing social media policy
  • How to document social media policy violations
  • Use of screen capture tools to record violations
  • Documenting social media policy violations on Facebook
  • Documenting social media policy violations on Twitter
  • Documenting social media policy violations on LinkedIn
  • Risks of storing social media policy violations in the cloud
 
And much, much more!
 
About the Host:
 
Eric Schwartzman is CEO of social media compliance training provider Comply Socially, which helps employers manage the risk and capitalize on the opportunities of social media in the workplace.  Follow him on Twitter @ericschwartzman.


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