According to a Synthesis survey, less than 25% of investment management firms say they’ve totally complied with the SEC’s Modern Marketing Rule. Are you on track to full compliance?
The SEC’s New Modern Marketing Rule: Are You Prepared?
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Are You Practicing Sales Prevention?
Sales are so important, yet many firms actually practice sales prevention. Here are the ways and what they can do instead.
Is HR on the line? – Gatekeepers Best and Worst Meetings
Citywire highlights it’s top Q&As in 2019, in which eight gatekeepers recount their best and worst investor interviews, from overconfident PMs to preposterous historical returns.
Rule Change Eases New ETF Launches But Post-Launch Challenges Remain
It may be easier to launch an ETF. But you still need “juice” to attract investors.
6 Tips to Keep Compliance Happy
How can I work with my firm’s compliance officers? In her latest insight article, Susan Weiner focuses on how marketers can build constructive working relationships with the compliance professionals at their firms.
Your Compliance Team’s 2019 Resolution
Excited to switch to the new “notice-and-access” online publication delivery process? You’ll have to wait until January 2021 but Kurtosys shares how it works in a recent article.