SEC Risk Alert Targets ‘Check-the-Box’ Compliance Reviews, With Marketing Sign-Off Next in the Crosshairs
A ticked box stating an annual review has been completed is a no-go, with the SEC highlighting widespread failures in RIA’s ‘shortcuts to being compliant.’ TL;DR: create a running log of signed-off marketing material. Two and half years after the SEC amended their annual compliance review requirements, plenty of firms have not adjusted accordingly to […]
Investors Are Asking AI Before They Ask Their Advisor, Changing What Good Fund Content Looks Like
AI is a due diligence tool that investors have taken to like ducks to water, to assist relations with their advisors rather than negating them completely. TL;DR: make your content legible for AI tools. Even investors that use financial advisors cannot avoid the pull of AI tools to swiftly address all of their financial questions. […]
Allocators Have $24.9bn Ready for Hedge Funds in H2, But Only 38% of It Is New Money
2026 has been a boon for hedge funds, where investors’ renewed appetite should fuel unique campaigns built around a manager’s USPs. TL;DR: frame pitches to suit regional interest. Following 2026’s mid-year updates, hedge funds have plenty to feel optimistic about. Investors’ intentions to expand their hedge fund portfolios are materialising, backed up by their actual […]
FINRA’s comment window has closed on the decade’s biggest rewrite of its advertising rule. Here’s what fund marketers should watch next.
Regulatory shifts are usually the start of a cautionary tale. But potential changes to pre-approval workflows could be welcome news for prepared funds. TL;DR: evaluate approval workflows and SEC Marketing Rule standards. We have been keeping a watch on the potential modernisation of FINRA’s advertising Rule 2210. Now that the consultation period is up and […]
55% of Asset Managers Say Brand Beats Product Design. 71% Say They Cannot Break Through Anyway.
Competition is rife in asset management, so what should marketers turn to? As it turns out, the good old fashioned brand-builder of thought leadership. TL;DR: support brand credibility before the next fund launch. The knowledge and esteem of a brand’s image can be extremely favourable to a decision-maker. Not only for B2C circles to purchase […]