Ebook

Navigating regulatory compliance: three questions to help you get on the right path

Do you know the regulatory rules and how to apply them? Striking a balance between getting your message across to prospects and clients quickly while also complying with rules and guidelines to protect investors can be difficult, especially if you don't know where to start.

To help make that an easier task for you, we put together this ebook which provides an overview of the top three questions you should ask yourself and your team before creating marketing communications—and why you should ask them. Download now to learn more.

 

 

About the ebook

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Your ultimate purpose is to safeguard investors and markets. Any misstep in the content, review, approval, filing, or recordkeeping of your marketing communications may expose your firm to fines and potentially damage your brand’s reputation. That’s why you should always focus on creating content that is fair, balanced, and not misleading. It’s the baseline requirement of all content related to investment services, no matter what product or service you’re promoting. 

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