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SEC Marketing Rule: Implications for news releases that promote third-party ratings and rankings

By |08/03/2022|

The window of time for SEC-registered investment advisors to conform to the new SEC Marketing Rule is drawing to a close. The new regulation became effective in May 2021 with an 18-month transitional period for RIAs to modify their compliance practices prior to enforcement. Starting Nov. 4, the SEC requires adherence to the new rules.   Here we focus on implications [...]

Should you post views on a fast-moving international crisis?

By |03/22/2022|

Deciding whether to post commentary during a severe and fast-moving crisis, such as the Russia-Ukraine war, can be a conundrum. Asset managers may be reluctant to make macro calls. Wealth managers may have qualms about commenting on changes to portfolio composition. For both, hesitations boil down to these three reasons:   You don’t want to be wrong.    You don’t want to [...]

Beyond ESG: Sustainable Investing Buzzwords and Trends to Watch

By |05/06/2021|

Although we are already nearly halfway through 2021, the critical issues that 2020 exposed remain at the forefront of many people’s minds. From social justice protests to the economic crisis and an augmented focus on climate change, many people are increasingly searching for ways to enact change in more areas of their lives. With more Americans receiving the COVID-19 vaccine, people are also contemplating what comes next. However, the concept of going back to “normal” is increasingly being met with the realization that our future reality [...]

  • “Is this an advertisement?” What RIA marketing teams need to know about the SEC’s new Marketing rule

“Is this an advertisement?” What RIA marketing teams need to know about the SEC’s new Marketing rule

By |03/15/2021|

RIA marketing pros would do well to learn about the SEC’s new Investment Adviser Marketing rule. This post focuses on the new rule’s relevance to original content, media interviews and social media. Testimonials, endorsements and third-party ratings—all key focus areas of the new rule—are topics for another time. The new Marketing rule applies to RIAs, not Registered Investment Companies, for [...]

  • A Changing Newsscape a Year into the Pandemic

A Changing Newsscape a Year into the Pandemic

By |03/05/2021|

As vulnerability and transparency became a theme and “casual" became the new corporate, the historic implications of 2020 and COVID-19 will resound for generations. In a socially distanced year, we grew closer to our computers, and social media expanded engagement with our now distant communities. Greater screen time increased the desire to explore new economic realms and had an unprecedented effect on trading and markets, with many Main Street investors waging [...]

  • GameStop, Short Sellers, Hedge Funds, Robinhood and Main Street Investors– Reputation Winners and Losers

GameStop, Short Sellers, Hedge Funds, Robinhood and Main Street Investors– Reputation Winners and Losers

By |02/01/2021|

I have absolutely no skin in this game – I have never owned GameStop nor have I ever shorted a stock – it is still instructive to speculate about the reputation management strategies of the various players in last week’s astonishing events.    An internet inspired mob orchestrated a short squeeze that led to a maddening crowd of Main Street investors buying up the stock of a fundamentally struggling company and forcing a comeuppance on Wall [...]

  • 2020 in Review

A Reflection on This Year’s Communication Lessons: What 2020 Taught Us

By |01/07/2021|

Done. Ready to move on. But not so quickly.  From the COVID pandemic and resulting economic shock waves to social upheaval prompted by George Floyd’s brutal killing to a divisive election that took weeks to resolve, we are ready to put 2020 behind us. But with the pandemic not yet under control and significant political and social uncertainty remaining, one can only tiptoe into 2021 waiting for the next vase to shatter.    The standard PR playbook [...]

Study: Online webinars and digital engagement more important for reaching financial advisors during COVID-19 pandemic

By |12/31/2020|

In the past, in-person wholesaler educational events with advisors were at the heart of awareness building for mutual fund companies. Not anymore.  A recent study from J.D. Power confirms the trend toward virtual and digital engagement with advisors. Asset managers “need to provide easy access to relevant content and resources across multiple digital channels, including content that can help them do their job more effectively and [...]

Personalized financial planning in 15 minutes: A review of the new Schwab Plan offering

By |10/08/2020|

Gone are the days when professional financial planning was limited to inside the walls of a CFP’s office or over a 1:1 phone call. Schwab’s latest digital service, the Schwab Plan, offers self-guided, personalized financial planning, complimentary to its clients across all retail divisions. Plus, there’s no minimum asset requirement. As a recent college grad just entering the world of [...]

Beyond ‘Let’s do better’: Lessons from industry responses to America’s conversation on racial justice and inequity

By |08/10/2020|

This spring our inboxes were flooded with sympathetic messages and thoughts on the reckoning America is experiencing on racial inequity and justice, largely spurred by the death of George Floyd and the numerous effects of the COVID-19 pandemic. While some companies released public statements, others sent internal messages to employees. Still other companies didn’t chime in at all. Many of [...]

Logica “Future of Money” Survey: How best to engage with customers and the community in the COVID-19 era

By |05/29/2020|

New research from Logica Research’s Future of Money Survey offers important insights about consumers and money in a world upended by COVID-19. What do consumers want and how should you communicate with them? A recent webinar on the study sponsored by the Financial Communications Society stressed the need for empathetic communications. Financial companies should demonstrate they understand their customers’ issues [...]

Financial Communications in the Pandemic Era – What’s Working

By |04/03/2020|

In this new world of “shelter at home” uncertainty, your inbox has probably been flooded with hundreds of updates from businesses about COVID-19. Among them are messages from investment firms and financial advisors seeking to assure recipients that things are under control. These senders have an even more complex task than most organizations as they must also address financial market [...]