article thumbnail

Performance Advertising Guidelines For Investment Advisers Under the SEC’s New Marketing Rule

Nerd's Eye View

For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,

article thumbnail

Mass. RIA to Pay $1M to Settle SEC Marketing Noncompliance Charges

Wealth Management

Wellesley Asset Management failed to properly disclose that it used hypothetical performance in advertisements for an index it created, according to the commission.

Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

Thursday links: avoiding permanent losses

Abnormal Returns

pionline.com) Advertising If the economy were bad, companies would be cutting back on advertising. cnbc.com) Is change finally coming to realtor commissions? (carsongroup.com) Fund management Why it's hard for investors to quit Blackrock ($BLK). riabiz.com) Vanguard is finalizing its exit from China. youngmoney.co)

article thumbnail

Weekend Reading For Financial Planners (September 14–September 15)

Nerd's Eye View

Which means that while many fee-only RIAs use the reduced conflicts that come with the fee-only model (as opposed to firms that receive compensation from commissions and other sources) as a key marketing talking point, the fact remains that being truly 'conflict free' is nearly impossible and such claims (which are hard to substantiate) appear to be (..)

article thumbnail

: European Commission says it may want to break up Google’s ad-tech business

MarketWatch

The European Commission said it’s taken a preliminary view that Google has breached antitrust rules in the advertising technology industry and that only a divestment of part of its services would address concerns.

article thumbnail

101 Ways Advisors Can Add Value And Attract Their Ideal Clients

Nerd's Eye View

From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.

Clients 246
article thumbnail

101 Things That Advisors Actually DO To Add Value (Beyond Just Allocating A Portfolio)

Nerd's Eye View

From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.

Fee Only 246