Founder and CEO
Founder and CEO of cloud computing start-up that caters to organizations in regulated industries. I often blog about the regulatory implications of social media.
October 18, 2012
In this blog post, we'll discuss what has recently been defined as "internal" social media, how it differs from the more traditional and widely adopted "external" social media, and how and why regulatory requirements apply to both internal and external of social media, when in use by regulated organizations.
October 11, 2012
Recently, we authored a blog post entitled, "Is Salesforce.com Chatter FINRA Compliant?" In that blog post, we discussed whether or not Salesforce Chatter, as a form of social media, satisfies FINRA regulations. To summarize, Salesforce Chatter is not FINRA compliant. But FINRA is not the only regulatory organization that provides rules around electronic communications use and compliance. Organizations that are subject to Sarbanes-Oxley, HIPAA or the FDA should also take note. Here's what you need to know, regardless of the regulatory entity that governs your organization.
August 30, 2012
Before kicking off a social media marketing campaign, it is crucial for financial companies to understand advertising limitations to prevent negative action by the SEC. The recent FINRA Regulatory Notice 12-29, offers some guidance on the new, less stringent, requirements for marketing.
August 29, 2012
Cloud computing services have revolutionized business practices across industry lines. The ability to store information off-site reduces costs for service providers and makes collaboration with multiple locations easy and quick. The benefits to services like Dropbox, Google Drive and Skydrive are easy to see, but the question of regulatory compliance is a big one for those in the Financial Services industry.
June 13, 2012
In this blog post, I'll highlight the salient points of the SEC's recently publishedNational Examination Risk Alert - Investment Advisor Use of Social Media as they apply to Registered Investment Advisors (RIA's).