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Articles: 1-10 of 12

Don’t Oversell It - False or Misleading Advertising

USA - January 13 2020 You’re ready to advertise. You know the basics, you can handle the complexities of including past specific recommendations, and even understand how…

Worrying About What Others Think - Using Testimonials in Advertising

USA - December 18 2019 For businesses of all types, posting positive reviews can be one of the most powerful means of attracting new customers. Before individuals hire a…

Bringing Up the Past - How to Navigate Past Specific Recommendations

USA - December 3 2019 You want to attract clients. You need to advertise to attract clients. You might think that a great way to attract new clients is to advertise how…

Advertising to Clients - Get the Basics Down First

USA - October 23 2019 The investment advisory industry is extremely competitive. And while robo-advisory firms often are able to set themselves apart from the industry as…

Compliance with Solicitation: How to Build a Strong Referral Base

USA - October 7 2019 The saying goes, referrals are the lifeblood of any business. Indeed, all business owners, robo-advisory firms included, strive to provide a level of…

Electronic communications with clients - what to know before you hit “send”

USA - August 14 2019 If you’re a robo-adviser, chances are you want to create a fully “digital” experience for clients that doesn’t involve sending paper documents. For…

Can We Do That: A Case for Early Compliance Intervention

USA - July 31 2019 So, you’ve decided to launch a robo-advisory firm? Understandably, your first considerations are likely tied to the functionality of your product…

Individual Licensing Requirements for Robo-Adviser Personnel

USA - July 17 2019 Even though your firm may be registered with the SEC, a state can impose licensing requirements on individuals associated with your firm who (i) have…

Brochure Supplements - How Much do your Clients Know about the Individuals Behind your Algorithm?

USA - June 26 2019 No matter what form of investment advisory firm you have, completing Form ADV is a necessity. As a reminder, Form ADV is the form used by investment…

Registering your robo-advisory firm - where and how?

USA - June 12 2019 Before your robo-adviser can accept its first client, it must be registered. Like other investment advisers, robo-advisers have two possible initial…