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Jolt 2022! Brian Hamburger on Compliance in Advisor Marketing and the New SEC Rules

Why compliance may be a convenient excuse for advisors to hide behind.

 

In this video, David Armstrong, editor-in-chief and executive director of content, WealthManagement.com, and Brian Hamburger, president and CEO, MarketCounsel | Hamburger Law, discuss the SEC’s new marketing rules and why compliance may be a convenient excuse for advisors to hide behind.

David and Brian discuss:

  • The difference between referrals and a strategic marketing plan;
  • Is compliance an overblown “weaponized” term when advisors talk about future marketing plans;
  • How advisors are reacting to new SEC rules when it comes to marketing their performance, testimonials, google reviews and endorsements;
  • Podcasting—is the medium too “off the cuff,” and does it raise the risk of advisor violations; and
  • How do advisors navigate the trap of mechanized platforms to automate their marketing, versus marketing programs that are authentic and put the advisors' voice front and center.

See more of our coverage from Jolt! 2022

 

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