Nerd's Eye View

JULY 26, 2024

Also in industry news this week: While the number of RIA M&A deals has not surged in 2024, the average size of deals has increased, demonstrating interest from (often private-equity-backed) firms in pursuing larger targets Off-channel communication tops the list of concerns amongst RIA compliance professionals, with advertising and marketing coming (..)

Financial Planner 240

Financial Planner Retirement Communication Financial Advisor 240

Nerd's Eye View

DECEMBER 27, 2023

These responsibilities also extend to the use of any technology used in the process of giving advice: A recommendation made with the aid of technology still needs to be in the client's best interests, while the technology also needs to carry out any function as it's described in the advisor's marketing materials and client communications.

Financial Advice 214

Financial Advice Communication Compliance Clients 214

Midstream Marketing

OCTOBER 30, 2024

A strong marketing plan and effective advertising adviser practices related to Form ADV are essential for successful marketing practices. Clear communication is key. Work on better communication and teamwork. The SEC’s advertising rule and its guidelines on social media explain what advisors can and cannot do.

Investment Advisor 52

Investment Advisor Investing Investments Ethics 52

Midstream Marketing

OCTOBER 31, 2024

Paid Advertising: Reach specific audiences and improve marketing results with intelligent, data-driven ads. Compliance and Regulatory Advertising Standards The financial services industry has many rules. Businesses must follow these advertising rules. Choose a consultant who values clear communication.

Consulting 52

Consulting Financial Market Marketing Marketing 52

Indigo Marketing Agency

DECEMBER 18, 2019

That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . It offers comprehensive solutions, including personalized websites, compliance-ready content, email and social media tools, and more. Branding and Communications for Financial Advisors.

Financial Advisor 52

Financial Advisor Marketing Marketing Compliance 52

Indigo Marketing Agency

NOVEMBER 20, 2023

It should clearly communicate the value proposition, such as “Unlock Exclusive Financial Insights: Join Our Mailing List Today!” Compliance With Privacy Laws and Regulations Ensure compliance with privacy regulations like GDPR, CCPA, and CAN-SPAM Act. Optimize content and metadata for a better user experience.

Financial Advisor 52

Financial Advisor Engineering Advertising Compliance 52

Indigo Marketing Agency

APRIL 4, 2024

Through strategic use of hashtags, targeted advertising , and engaging content, you can connect with leads who may not have been able to reach you through traditional networking channels. Regulations such as SEC, FINRA, and FCA impose strict rules on advertising, communications, and disclosures.

Media 52

Media Financial Advisor Compliance Education 52

Inside Information

APRIL 1, 2024

One might argue that the reps are paying for access to commissionable products, and the other primary benefit they receive is compliance supervision—making sure they are in fairly strict compliance with the sales-related rules that FINRA and the SEC have promulgated. Do the workers determine their own income through their actions?

Compliance 40

Compliance Commission Sales Financial Services 40

Midstream Marketing

NOVEMBER 5, 2024

Understand why compliance, engagement, and tracking success are vital for your social media efforts. Think of your social media channels as spaces for two-way communication. This approach creates a sense of community. They also help build a sense of community among your followers.

Media 52

Media Financial Advisor Marketing Marketing 52

FMG

SEPTEMBER 29, 2022

For example, have your videos show off your expertise, share your background and (if compliance allows it) include video testimonials from those you’ve helped. Whether it be advertisements, long-form talking heads or anything else on the spectrum. When using videos on your site, they should be there to help visitors self-qualify.

Marketing 72

Marketing Marketing Media Advertising 72

The Big Picture

SEPTEMBER 10, 2024

And so it’s, it’s sort of managing that, all of those different constituents with communication. How do you take that massive information and communicate it to both the Morgan Stanley staff, the sales team, the brokers, the asset managers, and the investing public? You have to get compliance. Not yet to approve that.

Valuation 157

Valuation Clients Investing Investments 157

Inside Information

OCTOBER 30, 2021

He thinks that the distinction has been deliberately (and very effectively) blurred by the brokerage industry, which advertises itself as helping facilitate peoples’ dreams with financial planning and investment advice, whose brokers call themselves, on their business cards, advisors, vice presidents of investments or wealth managers.

CFP 40

CFP Commission Education Investing 40

The Big Picture

FEBRUARY 13, 2023

ADVERTISEMENT) RITHOLTZ: So you’ve been with BlackRock since the financial crisis. Tell us a little bit about what you do on Twitter and how was it getting that through legal and compliance? RIEDER: Well, first of all, anything I tweet goes through legal and compliance before it gets out there, first part. RIEDER: Thanks.

Economy 144

Economy Numbers Marketing Marketing 144

Sara Grillo

MARCH 16, 2024

Transparency is the single most powerful force that exists in realm of human communication. pricing, technology, compliance) as they build their transparent advice businesses.” Flat fee advisor “Highly qualified community with a shared vision for fairness, honesty, and transparency for clients. I look forward to more!

Financial Advice 52

Financial Advice Communication Financial Advisor Consulting 52

Brown Advisory

JUNE 12, 2017

All the big brokerage firms have large compliance departments, and they should. Berkshire’s approach frees up a lot of time and energy for managers to focus on running their businesses well rather than communicating with Wall Street and shareholders. Munger said to count him as a skeptic if you think a legalistic approach will work.

Investing 52

Investing Investments Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

All the big brokerage firms have large compliance departments, and they should. Berkshire’s approach frees up a lot of time and energy for managers to focus on running their businesses well rather than communicating with Wall Street and shareholders. Munger said to count him as a skeptic if you think a legalistic approach will work.

Investing 52

Investing Investments Ethics Taxes 52

The Big Picture

AUGUST 15, 2023

Let me say what your compliance wouldn’t allow you to say. SEIDES: And I’ll tell you a story that’s fun about the communication of it too. ” It wasn’t that they didn’t communicate that. I’m sorry, I’ve never advertised for the podcast other than a couple little experiments.

Management 130

Management Investing Investments Government 130

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 157

Compliance Clients Wealth Management Management 157

Sara Grillo

SEPTEMBER 26, 2022

The advertisements that they produce that says that anyone can call themselves a CFP. I think that we do need sales people to sell things, I think sales is just the expression of value, the expression and the communication of value. Now, granted, I don’t think that that’s true.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

FEBRUARY 13, 2023

It’s a pretty clean situation or communication. And I just seems like it’s the communication there at least is pretty clear. In the UK, HSBC has been pulled up because they’ve been advertising their green stuff, but of course, they’re one of the world’s largest financer of fossil fuels.

Investing 72

Investing Investments Clients Portfolio 72

The Big Picture

MAY 16, 2023

They kept the reputation intact by communicating with their investors. Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. Whereas eTrade they were spending billions on advertising. RITHOLTZ: So great advertising, but expensive advertising.

Media 284

Media Investing Investments Valuation 284