Advertising Compliance for Growing Advisory Businesses

Broadcast Date: Tuesday, December 19, 2017 at 3 p.m. ET

Finding the community of clients to grow an advisory business takes hard work and maximum effort, and it’s a labor filled with potential landmines. Advertising can help, but it’s not as easy as targeting your markets. Ascendant’s compliance experts will provide the knowledge and expertise to market and advertise anywhere knowing that the advertising materials are compliant with existing regulations.

Learn from the experts. This Ascendant ComplianceCastTM for TradePMR clients will explain common mistakes while helping advisers share their messages and reach the right communities. We’ll cover:

  • Taking advantage of positive news including rankings and awards, or performance – but not testimonials
  • Crafting a disclosure to make marketing compliant
  • Identifying and eliminating statements that violate regulations
  • Strengthening the message with better information
  • Using social media successfully
  • Reviewing the SEC’s September 2017 Risk Alert describing common advertising deficiencies.

Ascendant has been providing educational ComplianceCastsTM for a decade, and our consultants have extensive experience helping advisers with advertising regulations. During the presentation, Ascendant and TradePMR will also provide a description of Ascendant’s New Diamond, Emerald and Pearl service offerings, which include advertising consultations, complete ADV services, and comprehensive compliance support with levels designed for each advisers’ needs.

Featured Speakers:
Korrine Kohm, Director of Retail Wealth Manager Services
David Lourie, Consultant
Keith Marks, Executive Director & General Counsel Ascendant Compliance Management, Inc.
Introduction by James Halvosa, TradePMR CCO

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Ascendant works together with clients to identify and assess critical needs through customized plans. If you need assistance with compliance functions, regulatory services, cybersecurity or technology tools, we’d love to speak with you.