Financial planners have an important concern when it comes to marketing: compliance.
In fact, compliance becomes somewhat of a bottleneck in most organizations. Many planners and advisors flat-out give up on the idea of promoting their services with anything but standard marketing pieces because of compliance concerns.
Of course, compliance is essential and to be taken with the utmost seriousness, but there is still a path to create unique, custom, and highly effective marketing – all with your compliance officer’s approval.
Working with a good number of financial planners and firms, I’ve seen the gambit of compliance regulations and requests, and know how to work with your compliance department to get through (never around) any hurdles or issues.
With cooperation and planning, submitting your marketing materials to the compliance department doesn’t have to stop you from spreading the word about your services and gaining new clients.
If you’re a financial planner and ready to level-up your marketing, I’d be happy to have a chat about the possibilities – and your compliance concerns.
In service,
Norm Schriever
President, 7th Wave Media