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Thought Leadership in Action

How the Marketing Landscape Will Change for Advisers Next Year

Some financial advisers will have more flexibility with their marketing starting in the fall of 2022.  The Securities and Exchange Commission updated investment-adviser marketing rules that go into effect on Nov. 4, 2022. The rules allow advisers to use testimonials, endorsements, and third-party ratings as long as they comply with anti-fraud protections and other conditions. The marketi...

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What the SEC Cybersecurity Crackdown Means for Financial Advisers

The U.S. Securities and Exchange Commission takes protecting clients’ data seriously.  In August, the SEC ordered eight financial firms to pay a combined $750,000 in fines for shortcomings in cybersecurity protections that led to client data being exposed over a four-year period.  The firms were charged with violating the so-called Safeguards Rule, which requires registered broker-dealer...

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RIAs Proved Their Worth During March 2020 Meltdown, Study Says

Last year’s swift bear market revealed that “clients working with RIAs tend to sell less and buy more” when markets tumble, according to a new academic paper. Greg Bartalos, RIAIntel, March 4, 2021 Articles, white papers, and research reports regularly counsel advisors about how they should communicate with clients and manage their portfolios during sharp downturns. In the past decade, h...

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