"With the regulators breathing down my neck I don't want to say the wrong thing when I market myself and pay fines."

Love is a battlefield, and so is marketing compliance.

But there are some basic ways to drastically reduce the risk of triggering the watch dogs.

Take this action TODAY:

• Don't use superlative language such as: best, always, unique, guarantee, first, "I'm the only", most effective, etc.
• Hire a professional compliance officer. Seems obvious, but alot of you are making this stuff up as you go along.
• Think to yourself, "If an SEC examiner were standing right here as I talk, would he or she be triggered by what I am about to say?"
• Any time you present an award or testimonial, be prepared for it to be scrutinized heavily. Follow compliance's guidance verbatim on how to present these.
• Don't overstate your credentials or exaggerate their benefits.
• Don't exaggerate the benefits of being a fiduciary. "As a fiduciary, I operate in a totally conflict-of-interest free way." Can anyone actually operate this way? Not so sure.
• Review your website every three months and make sure all the information about your processes, employees, fees, etc., is accurate.

Sara's upshot

Now, I'm not a lawyer or compliance officer, so don't take this as legal or compliance advice. These are general tips. As the good ole disclaimer goes, for recommendations specific to your situation, consult a legal or compliance professional.

Yeah?

Yaaaaah.

BOOM - there you go, today's marketing tip for ya!

-Sara G

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