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Five Keys to Establish a Compliant Digital Marketing Program


It is probably fair to say that many registered investment advisors tend to be hesitant when it comes to digital marketing. It’s not that these institutions do not recognize the value of marketing to fill their business development sales funnels; it’s just that many mistakenly believe the risks could outweigh the rewards in such a heavily regulated industry.

Evolving regulations and changing investor behaviors have been significant over the past few years. However, nothing has been more powerful than the immediate disruption COVID-19 has had on our world, and in turn, our industry.

Foreside’s Meredith Henning, Managing Director, oversees the advertising compliance function for open and closed-end funds, exchange-traded products, commodity pools, and private placements at Foreside. Learn more about her five keys to help establish a digital marketing program and the uncertainty around compliance!

This sense of partnership is key if the compliance function is going to be perceived to be coming from a place of yes.

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