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NCS CONSULTANT’S NEW BOOK HELPS RIAs AVOID ADVERTISING AND MARKETING PITFALLS
December 15, 2008
- NCS CONSULTANT’S NEW BOOK HELPS RIAs AVOID ADVERTISING AND MARKETING PITFALLS
Les Abromovitz’s latest book was published this month by the National Underwriter Company. GROWING WITHIN THE LINES: THE INVESTMENT ADVISER’S ADVERTISING AND MARKETING COMPLIANCE GUIDE shows registered investment advisers (RIAs) how to advertise and market themselves effectively without making costly regulatory mistakes. Les, an attorney, is responsible for NCS’ advertising and marketing compliance department. NCS is a leading national consulting firm that has provided services to thousands of RIAs.
Les’ book can help you avoid crossing the regulatory lines as you seek to grow your advisory practice. Here are just a few of the subjects covered:
- You’ll find out how difficult it can be to attract clients in a highly-regulated environment where there are dozens of advertising pitfalls.
- You’ll learn how to market yourself ethically and effectively without causing regulators to breathe down your neck.
- You will come to understand how to fulfill your fiduciary duty to clients and prospective clients, especially your obligations to senior investors.
- You’ll discover new ways to market your products and services, but will also learn how blogs, PDAs, chat rooms, video presentations, YouTube, and other creative strategies can raise ethical and compliance issues.
Before you spend thousands of dollars on a website, brochures and marketing materials, find out what mistakes to avoid and still get your message across effectively. GROWING WITHIN THE LINES is filled with practical advice from the trenches and war stories that can save you from battles with the SEC or state securities regulators. You will discover ways to market products and services in situations that are subject to intense regulatory scrutiny, such as the so-called “free lunch” seminars and the sale of indexed or variable annuities.
Les has conducted compliance reviews of hundreds of advisory websites, presentations, brochures, seminars, blogs, radio programs, TV commercials and even YouTube videos. He has also provided content for many RIA websites. Les is a nationally-known speaker on advertising, marketing and website compliance issues. He has written about investment adviser advertising and marketing topics for numerous professional publications. In addition, he has been the author, co-author, managing editor and ghostwriter of numerous insurance, business, investment, and financial books.
GROWING WITHIN THE LINES will help your firm to navigate the treacherous regulatory waters, so you can avoid the advertising and website compliance deficiencies that plague RIAs. The book also offers suggestions on how to market your services professionally and warns you about potential compliance blunders. GROWING WITH THE LINES makes a great training tool for investment adviser representatives.
Testimonials for Les’ book:
As the president of a company that has provided compliance consulting services to thousands of advisory firms, I found that too many registered investment advisers were inadvertently violating the extremely complicated SEC and state rules that restrict their ability to advertise and market themselves. Les Abromovitz's book helps advisers expand their practices while avoiding regulatory pitfalls.
Rita G. Dew, CRCP, President of National Compliance Services, Inc., Delray Beach, Florida
Having developed Web sites for hundreds of financial services firms, I found Les Abromovitz's discussions of the prohibitions on content and the permissible alternatives to be enlightening. I am confident that investment advisers will benefit greatly from Les' guidance. His practical and easy-to-digest advice has always been well-received at LightPort’s annual client conferences.
John Ferrari, President & CEO, LightPort, Inc., Palm Harbor, Florida
Les’ book is the definitive guide for registered investment advisers to better understand their fiduciary obligations to investors, and at the same time market their services in an ethical manner. This book sets a new standard for creating solid advisor-client relationship. Firms that follow his advice will set the right tone for their advisory relationships and will avoid promising investors more than they can deliver.
Pam Krueger, Cohost of the nationally-syndicated public television series, MoneyTrack, and author of the new book, The MoneyTrack Method: The Real Person's Guide to Successful Investing (2008 John Wiley & Sons)
Ordering information:
National Underwriter Company
Contact information:
Les Abromovitz
561-330-7645 Ext. 213
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