Regulations on Marketing/advertising

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Jan 12, 2006 7:49 pm

  First I dont think there is any substitution for cold calling
when first getting in the biz, however there are things that you can do
to make it easier.  Of course most firms have a website but does
anyone know the about the regulations or where I can find information
about the regulations for my personal website?  Its not up yet,
but I would like to use this as a marketing tool for prospective
clients.

Jan 12, 2006 8:37 pm

I'd call your compliance department (i.e., sales prevention department) about that, first! IF they even allow you to have a personal marketing website (highly doubtful), they are going to have to approve its contents. I mean all of its contents! And any time you plan on making changes and/or additions to the site, they will either give the thumbs up or thumbs down.


Trust me, too much hassle involved to be worth the effort. And, chances are, any website approved by your compliance department will be so generic and bland as to be non-effective.


Sniff, sniff...my compliance department removed my promises of principal guarantees and high returns!

Jan 12, 2006 10:50 pm

AS far as compliance, doberman is right, however I doubt
that it much of a hassle to have a website. Actually most compliance
departments would have a template to make it easier. In my company, the
compliance dept works seamlessly with the marketing department.