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

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 [...]

By |2023-03-02T10:41:50-06:0008/03/2022|

Don’t make compliance your enemy

If your company operates in a highly regulated industry like financial services, it’s not uncommon for the approval process for content to become contentious. But when compliance and marketing can’t see eye to eye, it can be both unpleasant and unproductive. Even if you outsource your compliance function, establishing and maintaining solid working relationships with the people who have the [...]

By |2023-03-02T10:42:13-06:0006/08/2022|

Social media content strategy: Not a one-size-fits-all approach

All social media platforms are not created equal. To increase engagement rates and the odds of connecting with your ideal audience, tailor your social media content uniquely for each platform. It’s helpful to take a step back and look at the demographics, audience reach and purpose of each platform, and then identify how they relate to your firm’s overarching [...]

By |2023-03-07T21:34:30-06:0012/12/2018|
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