ComplianceCast: Advertising & Marketing Compliance

Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics & Reviewing Tips for compliance professionals. This complimentary ComplianceCast covers the following topics: Investment Adviser Advertising Rules and No-Action Guidance … Read more

Social Media – Likes, Links, and Longing for Compliance

Likes. Endorsements. Testimonials. Firm pages and employee pages. Many advisers are still struggling to understand the SEC’s patchwork of guidance on using social media. How can you use this medium effectively to reach clients and prospective clients, without running afoul … Read more

New Social Media Guidance On Testimonials

New Social Media Guidance On Testimonials The Division of Investment Management has released a Guidance Update which expands the permissible use of social media by investment advisers. Is it a game-changer for advisory marketing activities, or did it still leave … Read more