Case Study: Enabling Social in Financial Services, Meeting Compliance Presented by: Sarah Carter, VP, Marketing, Actiance Financial institutions are increasingly deploying enterprise unified communications and collaboration platforms, social software, and real-time tools despite the regulatory hurdles. Sarah will break down the security and compliance issues as well as share how leading organizations are overcoming them. She will also provide insights from her bird's eye perspective gained from providing solutions to Actiance's 1,600+ financial customers since 2001. www.bdionline.com

1. Enabling social in Financial Services, meeting compliance
Sarah Carter – VP Marketing
@sarahactiance
www.linkedin.com/in/sarahlouisecarter
Confidential and Proprietary © 2011, Actiance, Inc.
All rights reserved. Actiance and the Actiance logo are trademarks of Actiance, Inc.

2. Agenda
Actiance, why we are here
How we got here
The Era of Social Communications
Social Risks – does compliance stop adoption?
Six Key Tenets of Social
So who’s doing it well? And how?
How can you get it right?
10 steps to success

3. Why am I presenting to you today?
Sarah Carter
VP, Marketing
I run social media for Actiance
I have a global remit, with varied experience
I work with financial services customers best practice Social
Media adoption
Twitter: @SarahActiance
LinkedIn: http://www.linkedin.com/in/sarahlouisecarter
My biggest challenge?

4. About Actiance
Enable the New Internet
– 5,000+ Web 2.0 apps, Unified
Communications, Social Networks
Global operations
– USA, EMEA, India, Asia/Pacific
Market Leader
– 9 of the top 10 US banks
– 284 FINRA firms
– Top 5 Canadian banks
– 82,000 Social Network Users Under
License
Broadest Partner Ecosystem
– Technology alliances
Confidential and Proprietary © 2011, Actiance, Inc. All rights reserved.

7. Confidential and Proprietary © 2011, Actiance, Inc. All rights reserved.

8. The Era of Social Communications
Previously…
Corporate
Communications
was easy
Customers Partners
Employees
Pg. 7

9. The Risks of Social Media…
Data Leakage Incoming Threats Compliance & eDiscovery User Behavior
Pg. 8

10. You Need an Enterprise Strategy for Social Business Initiatives
“Strategic Planning Assumption(s):
By 2015, the 20% of enterprises that employ social media beyond
marketing will lead their industries in revenue growth. By 2016, 15%
of businesses will deploy a horizontal social technology layer that
integrates with several business applications.”
Gartner, May 2011
“Don't view social media as just
another channel; use it to rethink
marketing principles strategically.”
Pg. 9

11. How to make social pay dividends
Strategy
Personal brand
Leverage
Analytics
Education
Pg. 10

12. e

14. 13 Confidential and Proprietary © 2011, Actiance, Inc. All rights reserved.

15. So how do you do that?
14
Confidential and Proprietary © 2011, Actiance, Inc. All rights reserved.

16. Focus on the important contacts in your life..
15 Confidential and Proprietary © 2011, Actiance, Inc. All rights reserved.

17. Content: CrowdSource Content that works
Pg. 16

18. Give users the framework, and the ability to personalize
17 Confidential and Proprietary © 2011, Actiance, Inc. All rights reserved.

19. Give the user measurable insight, aggregate results
Pg. 18

20. What can you easily do: Now
1. Understand your firms landscape, get visibility.
2. Engage stakeholders in policy setting. Set the policy.
3. Consider and address the risks, in a granular fashion.
4. Provide education for your users on acceptable and appropriate use.
5. Issue and implement best practice guidelines.
6. Provide users with the tools and the ability to be social
7. Understand and manage the fallibility of human beings.
8. Record and retain (appropriate) communications.
9. Review and refine policies (regularly).
10. and of course, understand your compliance requirements and
management…

21. And finally..
info@actiance.com
@Actiance, @SarahActiance
Further reading:
Osterman Research White Paper
“The Impact of New Communications Tools on
Financial Services Firms”
2010 Internet Usage Survey Results
Meeting FINRA 10-06/11-39 Compliance
Guidelines White Paper
FSA: Social Networks, Web 2.0
Actiance Collateral Library
http://actiance.com/products/collateral-
library.aspx