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 [...]
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 [...]
When our clients ask us how to increase their social media reach and engagement, we counsel them to look first at whether and how much their own employees share and like their corporate or thought leaders’ posts. The Twitter and LinkedIn algorithms that determine what is shown on a user’s feed favor posts that quickly attract high levels of [...]
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 [...]
Recently a client was quoted in a prominent trade publication for financial advisors, in an article focused squarely on a narrow topic perfectly aligned with the firm’s strategic objectives. The topic is controversial among advisors. On the whole, the journalist approached the topic with a great degree of skepticism, whereas our client had a strongly positive view. Still, it [...]
We’ve been both delighted and terrified to see more and more reporters respond to pitches with: “That’s a great idea! Do you have anyone with a diverse background who could talk about it?” “Delighted” because of the progress the question signifies. “Terrified” because diversity can be tough to navigate in the context of a client/agency relationship. The development itself [...]
Financial services firms know that consistently creating content is a highly effective way to build their brands, gain new audiences and improve their competitive positioning. But while some firms never seem to run out of ideas or subject-matter experts (SMEs) with new insight, others struggle to fill a content calendar. But if you’re a financial advisor — or a [...]
