Nerd's Eye View

DECEMBER 7, 2022

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.,

Advertising 210

Advertising Investing Investments Marketing 210

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

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 Compliance Marketing Marketing 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.

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Compliance Taxes Accounting Budgeting 52

Nerd's Eye View

FEBRUARY 14, 2024

The key point is that even though regulatory bodies have recognized the distinct nature of advice relationships of trust and confidence and applied higher standards of care for such advice relationships in the past, the line between sales and advice has blurred in more recent years.

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Retirement Financial Advisor Insurance Sales 120

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

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

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

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

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 Electronics 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

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.

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CFP Commission Investing Investments 40

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.

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Assets Clients Investing Investments 290

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

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 296

Valuation Investing Investments Engineering 296

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.

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 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.

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: It’s mostly that and it goes to what you said, which is I love having these conversations and have never advertised on the podcast. 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

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 154

Clients Management Engineering Investing 154

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 143

Economy Numbers Portfolio Marketing 143

Sara Grillo

SEPTEMBER 12, 2022

Despite the incidences mentioned in #5, the CFP Board has spent millions in advertising telling consumers they should always trust a CFP® professional and if they don’t have the CFP designation you just don’t know about their integrity. Wright argues that context is everything and that advertising on its own does that create harm.

CFP 80

CFP Financial Planner Ethics Financial Planning 80

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

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 154

Compliance Wealth Management Clients Management 154

Sara Grillo

MARCH 16, 2024

pricing, technology, compliance) as they build their transparent advice businesses.” These offers are limited to the services advertised in the promotions contained on this page. This was the first and largest in-person gathering of flat fee advisors! I look forward to more!

Financial Advice 52

Financial Advice Financial Advisor Communication Consulting 52

Sara Grillo

SEPTEMBER 26, 2022

The advertisements that they produce that says that anyone can call themselves a CFP. Yeah, I think you could probably make a pretty good argument that, Hey, maybe we shouldn’t have spend so much on advertising and maybe we spend a little bit more on enforcement so that our credibility doesn’t go down.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

JUNE 27, 2023

ADVERTISEMENT) RITHOLTZ: So for those people who may not have seen it, there is a famous documentary, I believe it’s called “The Trader” that follows Paul Tudor Jones around. ADVERTISEMENT) RITHOLTZ: Let’s talk about betting on natural gas. They provided liquidity. And who knows what’s going to happen now.

Math 143

Math Risk Management Management Marketing 143

The Big Picture

MARCH 21, 2023

ASNESS: Well, I was striving for uncorrelated, but then the compliance officer in my head is saying sometimes it doesn’t come out to zero all the time. And it’s really not a compliance reason, I hope it’s more of an intellectual honesty reason. I just want to put in — RITHOLTZ: That’s correlated? ASNESS: Yes.

Valuation 164

Valuation Investing Investments Numbers 164

Sara Grillo

FEBRUARY 13, 2023

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. Similarly, in Canada, RBC, also one of the world’s largest financer of fossil fuels has been pulled up for its green advertising. 0:39:39.9 : The G.

Investing 72

Investing Investments Clients Portfolio 72

The Big Picture

MAY 16, 2023

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. RITHOLTZ: I have a behavioral finance list. I see everything that everybody tweets.

Media 281

Media Investing Investments Valuation 281