How to Get Financial Services Content Rules Right
The rules that shape marketing content for brokers, investment advisers, lenders and other financial firms.
Dana Whitfield
The key figures
Why this is worth getting right
Financial marketing is regulated by several agencies, and non-compliant content can lead to fines and reputational damage.
Do this, not that
Do
- Route content through compliance review
- Present risks alongside benefits
- Keep records of approved communications
- Substantiate performance claims
- Update content when rules change
Don’t
- Promissory language about returns
- Cherry-picked performance data
- Testimonials without required disclosures
- Publishing without compliance approval
When to bring in help
Our advice Bring in help when producing content for regulated financial firms.
Where this comes from
- FINRA — Rule 2210 Communications with the Public
- U.S. Securities and Exchange Commission — Investment Adviser Marketing
The figures and practices above come from the sources listed.
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Where to go next
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