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Cash Solicitation and Testimonial Rules for Investment Advisor Marketing Strategies

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This interview took place in 2022.

If you are an RIA or a financial firm looking to do marketing, you know that you need to know: Marketing compliance for wealth management

In case you haven’t had a chance to watch my latest video interview, please do so here.

In this video interview I speak with Chris Stanley, Founding Principal of Beach Street Legal.

In the video we will discuss:

1) Latest updates coming out of the SEC about Investment Advisor Marketing Rules

2) How to use testimonials for marketing purposes in a legal and privacy-focused manner

3) How you can give cash compensation to someone who may solicit business and referrals on behalf of your advisory practice

4) The difference between endorsement marketing rules and testimonial rules

5) State versus SEC registered advisor rules pertaining to marketing And a lot more.

To schedule a meeting with Chris, please reach out to him on his website: https://beachstreetlegal.com/

 
 
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