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Managing Your Annual Compliance Checklist - investment adviser

 
Wednesday, November 3 2021

Managing Your Annual Compliance Checklist

2020 was a year unlike any other, as we worked through the impact of the COVID pandemic, shutdowns, and sheltering in place.   With everyone trying to resume life as normal while... [...]
Monday, February 8 2021

Testimonials in Social Media

Do testimonials work? The data says they do across many industries, and it’s because people are so connected. Ninety-two percent of buyers read testimonials online before making a purchase, and... [...]
Monday, January 25 2021

Modernized Marketing Rule for Investment Advisers

On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers. These rules were developed under the Investment Advisers Act of 1940 and have not been... [...]
Wednesday, January 13 2021

Why You Need a Centralized Review Process

When you’re the compliance portion of the advertising review process, you’re expected to move fast. Once a piece makes it to your desk, it’s not uncommon to notice your marketing... [...]
 
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