Nerd's Eye View

FEBRUARY 1, 2023

In recent years, though, the growing use of lead-generation services, advisor networks, and ‘advisor-matching’ tools, referred to as “operators” in the Marketing Rule’s Adopting Release, has given rise to third-party solicitation activity that often looks more like advertising directly to prospective clients.

Compliance 198

Compliance Advertising Marketing Marketing 198

Nerd's Eye View

JULY 31, 2024

Even firms with robust compliance programs that do a good job following their required policies and procedures can struggle with examinations if they don't have the information that examiners will ask for readily available.

Compliance 186

Compliance Ethics Advertising Clients 186

Abnormal Returns

NOVEMBER 7, 2022

standarddeviationspod.com) Compliance Jason Zweig, "In 30 years of writing about the financial-advice industry, I never learned that advisers can provide less-comprehensive disclosures than stockbrokers." wsj.com) Advisers are scrambling to get into compliance with new advertising rules.

Compliance 279

Compliance Wealth Management Advertising Financial Advice 279

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 244

Financial Planner Retirement Communication Financial Advisor 244

Nerd's Eye View

JUNE 7, 2023

Which makes it all the more important for IARs to ensure Form U4 is up to date and that the way they are presenting themselves to current and potential clients in public – including content on their website, advertisements, and social media post – aligns with their (also publicly available) regulatory disclosures! Read More.

Compliance 231

Compliance Advertising Media Investments 231

Wealth Management

NOVEMBER 3, 2022

The commission’s rule update on advertising and marketing reaches its compliance date on Friday, and experts are warning firms to make sure they’re ready.

Advertising 89

Advertising Compliance Marketing Marketing 89

Nerd's Eye View

DECEMBER 27, 2023

On the other hand, the advisor needs to understand what process the technology uses to begin with to ensure that their processes are being followed as described in their advertising and communications.

Financial Advice 224

Financial Advice Communication Compliance Clients 224

Midstream Marketing

NOVEMBER 26, 2024

These methods include using technology, content marketing, and strategies that follow compliance rules. This includes using content marketing and sticking to compliance rules. They interact with different clients and have their own rules for compliance. When RIAs advertise their services, they must be honest.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Midstream Marketing

OCTOBER 30, 2024

A strong marketing plan and effective advertising adviser practices related to Form ADV are essential for successful marketing practices. The SEC’s advertising rule and its guidelines on social media explain what advisors can and cannot do. RIA’s should also consider the SEC’s advertising rule.

Investment Advisor 52

Investment Advisor Investing Investments Ethics 52

Indigo Marketing Agency

FEBRUARY 24, 2024

Paid advertising: Digital agencies can reach potential clients across a wide range of demographics and interests by using paid advertising platforms like Google Ads and social media advertising. This allows you to reach a much wider audience than you could with traditional techniques.

Financial Advisor 52

Financial Advisor Advertising Compliance Media 52

Indigo Marketing Agency

JUNE 7, 2024

Ignoring Paid Advertising Mistake: Relying solely on organic reach and not investing in social media advertising Solution: Use targeted ads to reach a broader audience. Overlooking Compliance Mistake: Posting content without considering regulatory compliance Solution: Ensure all your social media posts comply with industry regulations.

Media 52

Media Financial Advisor Compliance Advertising 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. If they don’t, there could be serious problems.

Consulting 52

Consulting Financial Market Marketing Marketing 52

Indigo Marketing Agency

NOVEMBER 20, 2023

Compliance With Privacy Laws and Regulations Ensure compliance with privacy regulations like GDPR, CCPA, and CAN-SPAM Act. Paid Advertising (PPC) for Financial Advisors Create targeted ads on Google and Facebook. Use tools like Google Analytics or Optimizely to track user behavior and gather data.

Financial Advisor 52

Financial Advisor Engineering Advertising Compliance 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. Digital Advertising for Financial Advisors.

Financial Advisor 52

Financial Advisor Marketing Marketing 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

Steve Feinberg

SEPTEMBER 7, 2023

Not only is it required by law, but proper tax compliance ensures that your business avoids penalties and maximizes tax returns and deductions. In summary, maintaining tax compliance and proper bookkeeping is not only necessary, but it can also positively impact your business’s bottom line.

Compliance 52

Compliance Taxes Accounting Budgeting 52

Diamond Consultants

JULY 16, 2024

However, not every firm permits advisors to add such additional services, due to compliance and risk mandates or logistical and operational issues (see point 3 below). This is not intended as an advertisement for independence. Expand your affiliations.

Clients 52

Clients Taxes Retirement Planning Estate Planning 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

Trade Brains

SEPTEMBER 24, 2024

Under these guidelines, three self-regulatory organizations (SROs) will be established to oversee compliance and ensure that only games without wagering or harmful content are permitted. Gaming segments In gaming segments, Nazara Technologies Limited has operated in advertising, in-app purchasing subscriptions, and platform fees.

Advertising 52

Advertising Portfolio Media Digital Media 52

Indigo Marketing Agency

JULY 1, 2024

Pay-Per-Click Advertising: Display personalized pay-per-click (PPC) ads to increase traffic to your website and earn new clients. Follow Regulatory Compliance: Indigo Marketing Agency goes to great lengths to help you feel confident that all your marketing content adheres to industry regulations.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Midstream Marketing

NOVEMBER 5, 2024

Understand why compliance, engagement, and tracking success are vital for your social media efforts. Compliance and Ethics in Social Media Use As financial advisors, it is important to follow industry rules and ethical standards when you use social media. They cover advertising, how to keep records, and supervision.

Media 52

Media Financial Advisor Marketing Marketing 52

Midstream Marketing

MARCH 21, 2023

This is an exciting year because the possibility for independent registered investment advisors (RIAs) to solicit reviews and incorporate them into their advertising is finally here. And while it is not always fun to get into the weeds of the new compliance rules, I’ve found the payoff for the ability to use Google reviews is so worth it.

Financial Advisor 52

Financial Advisor Investment Advisor Consulting Advertising 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

Indigo Marketing Agency

JUNE 3, 2020

Over the past few years, we’ve seen a surge in advisors wanting to use a YouTube channel to advertise their services—so much so that we’ve decided to offer YouTube channel setup and optimization as part of our onboarding process for advisors who already have video content or want to add it. . There you have it!

Financial Advisor 52

Financial Advisor Media Compliance Wealth Management 52

The Big Picture

MAY 9, 2023

ADVERTISEMENT) RITHOLTZ: Tell us a little bit about what the Goldman Sachs asset and wealth management business is like. We didn’t really have to worry about marketing or advertising, didn’t spend time on podcasts or TV. ADVERTISEMENT) RITHOLTZ: So let me throw a curveball at you. Capital rules were changing.

Assets 299

Assets Clients Investments Investing 299

Tucker Advisors

NOVEMBER 11, 2021

Your cover photo can be anything you want from an advertising space where the image contains your website or just something you enjoy like a band or family photo further showing that you’re a person interacting online, just like them. . As a general rule of thumb, we would not suggest sharing content that requires compliance approval.

Financial Advisor 52

Financial Advisor Accounting Financial Advice Media 52

Brown Advisory

AUGUST 14, 2023

For social media types selling advertising, the algorithms need to be tuned to keep serving up “new” information to keep our attention – with scant regard to the quality of the information presented. This is nefariously exploited by social media.3 Our brains struggle to differentiate quality from quantity.

Investing 52

Investing Investments Portfolio Accounting 52

Brown Advisory

JANUARY 1, 2023

Whilst advertising budgets are naturally cyclical, the return on investment from performance advertising spend often goes up in an economic downturn. We believe Alphabet delivers a great outcome to advertisers despite the cycles within their budgets and is taking share of ad dollars over time.

Investing 52

Investing Investments Valuation Clients 52

The Big Picture

MAY 23, 2023

So, there was an advertisement in the newspaper. There was an advertisement in the newspaper for Fidelity. Let’s round it up to 145 as much as my compliance people hate when I do that. I just never went back. RITHOLTZ: What — what was the first job in — in commerce, so to speak? GREW: In commerce? That’s a thing.

Clients 162

Clients Management Engineering Investments 162

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 Investing Investments 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 147

Economy Numbers Marketing Marketing 147

The Big Picture

SEPTEMBER 19, 2022

The advertising model, as we have learned is not aligned with customers’ interests, right? And from a public market, that sounds like it’s a compliance and conflict nightmare. And each part of that thesis actually means something very concrete. So let me just pick one of them, building trusted brands.

Valuation 305

Valuation Investing Investments Engineering 305

The Big Picture

SEPTEMBER 10, 2024

So it’s, it’s just kind of ironic, and I’ll just throw this out as a bit of an advertisement, but like, we run a portfolio of 10 stocks, a concentrated portfolio, 00:27:41 [Speaker Changed] 10 stocks, 10 00:27:42 [Speaker Changed] Stocks, that’s it. You have to get compliance. Not yet to approve that.

Valuation 162

Valuation Clients Investing Investments 162

The Big Picture

OCTOBER 5, 2024

And then when I got to Capital Group, obviously I was under compliance, they were like, you really can’t be talking about stocks online. So 00:06:01 [Speaker Changed] It’s funny, I had the exact same experience with compliance at a brokerage firm in the early two thousands when I launched the big picture. Oh, I like that.

Economy 162

Economy Education Insurance Economics 162

Sara Grillo

JUNE 20, 2022

And the reason that I’m going into this is that I want people to understand what it’s advertised as is what it eventually ends up being and the different angles on that, so… What else were you thinking at that point? SARA GRILLO, CFA: Okay, so a, what was your original motivation for taking the offer then… 0:02:06.6

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Brown Advisory

JUNE 12, 2017

All the big brokerage firms have large compliance departments, and they should. Berkshire’s ownership allowed GEICO to increase its advertising to attract new customers and grow its market share nearly fivefold. Munger said to count him as a skeptic if you think a legalistic approach will work.

Investments 52

Investments Investing Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

All the big brokerage firms have large compliance departments, and they should. Berkshire’s ownership allowed GEICO to increase its advertising to attract new customers and grow its market share nearly fivefold. Munger said to count him as a skeptic if you think a legalistic approach will work.

Investments 52

Investments Investing Ethics Taxes 52