Category: Advertising & Marketing
Year-End Compliance Check
Has your firm has met its compliance obligations for the year? December is typically a busy month for Registered Investment Advisers (“RIAs”) to wrap up priorities and plan for…
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Category: Advertising & Marketing
Would Your Social Media Activities Pass Regulatory Scrutiny?
Registered Investment Advisers (“RIAs”) know there are lots of benefits in using social media to grow their business. How else can you reach existing clients or get qualified leads…
by Patty T
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Advertising Do’s and Don’ts
Are you comfortable with your advertising practices? If they’re not on your radar, you may want to reconsider. The Securities and Exchange Commission’s (the “SEC”) Office of Compliance Inspections and…
by Patty T
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by Patty T
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