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Performance Advertising Under the SEC’s Marketing Rule

CFO News Room

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.,

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A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

Nerd's Eye View

Maintaining adequate books and records is a cornerstone of compliance for all investment advisers. For financial planning services, a similar approach to documentation can be applied to support regulatory compliance from the start of client engagement through all the steps that follow.

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Compliance Calendar For A Solo RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Creating a compliance calendar for a solo RIA can help to systematize and manage compliance tasks, requirements and deadlines.

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Crafting An Annual Compliance Calendar For A (Solo) RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

One of the most intimidating aspects of launching a solo advisory firm is the question of how to manage compliance. Putting all of this information together, it’s possible to create a compliance calendar that accounts for each task required, its frequency, and the due date for each.

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How Compliance Rules Vary For State- Vs SEC-Registered RIAs

CFO News Room

Chris Stanley is the Founding Principal of Beach Street Legal LLC, a law practice and compliance consultancy whose sole purpose is to help entrepreneurial investment advisers and financial planners succeed. Compliance policies and procedures manual. The adviser discloses its compliance with these conditions in its Brochure.

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Performance Advertising Guidelines For Investment Advisers Under the SEC’s New Marketing Rule

Nerd's Eye View

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.,

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Paid Solicitation Under The SEC Marketing Rule: Using Third-Parties For Lead Generation And Prospecting

CFO News Room

In recent years, though, the growing use of lead-generation services, advisor networks, and ‘advisor-matching’ tools, referred to as “operators” in the Marketing Rule’s Adopting Release, has given rise to third-party solicitation activity that often looks more like advertising directly to prospective clients.

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