Amplify your brand: “No chalk” – compliance guidelines for digital marketing
Working with FINRA and SEC regulations to reach leads and demonstrate value can be challenging but, despite this, it is possible to create compelling content and to promote your advisory services to an engaged audience, within regulatory guidelines. In this session, Amplify your brand: “No Chalk” – compliance guidelines for digital marketing, we will talk about why marketing compliance isn’t optional – and hopefully reaffirm what you already know. Key regulations will be covered including 206(4), the SEC’ “Marketing Rule”, regulations against false statements, and regulations regarding substantiation. We will follow that with a discussion on ensuring compliance across all of your marketing. Best practices will be shared including auditing all of your marketing material for compliance, building compliance best practices into your content development process, instituting a “zero tolerance”, policy, and how to “market” claims without making promises. And finally, we will wrap up with some ways to execute on these ideas.
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