Trish Lilley on How to Build Influence & Gain Buy-In for Change: Passle CMO Series Live Podcast
Karen Wilcox of Marketing Speaks on The Unique Roles of CMOs and BDMs in Program Rollouts - Passle's CMO Series Podcast
Jim Newell & Liz Lockett of Buchanan Ingersoll & Rooney on Cultivating Collaboration: Buchanan's Secrets to Success - Passle's CMO Series EP155
Passle's CMO Series REPRESENTS: Lucie Allen & Silvia Van den Bruel on Normalizing #MenopauseMatters
Thought leadership is a potent client service tool you didn't know you had
Hot Topics in International Trade - Managed Services and FTZs
Science can't clone you, but your thought leadership content can
Thought leadership provides air support for your business development ground game
The FTC’s Proposed Rule Banning Deceptive Reviews and Testimonials
Elizabeth Anscombe of Nardello & Co. on Building Trust in Confidential Services - Passle's CMO Series Podcast EP148
CMO Series Podcast Special - The Highlights from CMO Series Live in New York
Don't chase eyeballs with your thought leadership. Chase these two things instead.
Thought leadership is also a client and referral source retention tool
Nick Andrews of Knight Frank on The Changing Nature of Building Trust in Professional Services Marketing - Passle CMO Series Podcast EP143
Yes, your firm should create bingeable thought leadership content
Thought leadership is a process, not a product
Law Firm ILN-telligence Podcast | Episode 91: Amanda Schneider | Epstein Becker Green
Four unexpected lessons about writing that lawyers can learn from cake decorating competitions
Brenton Anderson of Dentons on Value Led BD, the Biggest Missed Opportunity for Professional Services? - Passle's CMO Series EP140
CMO Series Podcast LIVE - Erin Stone Dimry on Positioning Your Firm as the Go-To Choice
September 30 is the SEC’s fiscal year-end, so it's no surprise to see an uptick in enforcement cases this month. The latest slew of settlements involved violations of the Marketing Rule (Advisers Act Rule 204(4)-1) for...more
For one of our authors, their kids’ current favorite treat is a chocolate bar sold by a popular YouTube personality (and philanthropist!). The kids know about this particular chocolate bar because the personality promotes it...more
Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more
Recently, the SEC settled another administrative proceeding under the Advisers Act's Marketing Rule. This time, the SEC focused on advertisements that a hedge fund sponsor made to prospective investors. The hedge fund's...more
The US Securities and Exchange Commission (SEC) recently released two new sources of guidance for the Marketing Rule. On February 26, the SEC Division of Investment Management released an FAQ clarifying how to include gross...more
SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more
On April 12, 2024, the SEC announced the settlement of administrative proceedings brought against five registered investment advisers for alleged violations of Rule 206(4)-1 under the Investment Advisers Act of 1940, known as...more
On April 17, 2024, the Securities and Exchange Commission’s (SEC) Division of Examination (Division) issued a Risk Alert to provide information about investment advisers’ compliance with amended Rule 206(4)-1 (Marketing Rule)...more
On April 17th, the SEC issued a Risk Alert titled “Initial Observations Regarding Advisers Act Marketing Rule Compliance.” Perusing the list of failures, a sense of familiarity arose, given that one of our clients had been...more
Rule 206(4)-1, as amended (the Marketing Rule), continues to be an area of focus for the U.S. Securities and Exchange Commission (SEC). On April 17, 2024, the SEC Division of Examinations (Division) published a risk alert...more
The SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”)....more
On April 17, 2024, the Division of Examinations (the “Division”) of the Securities and Exchange Commission (the “SEC”) published a Risk Alert entitled: “Initial Observations Regarding Advisers Act Marketing Rule Compliance”...more
Promoting securities, cryptocurrency, and other investment opportunities is fraught with legal risks. Individuals who engage in promotional activities must ensure that they have a clear understanding of the federal laws and...more
Private fund advisers that are registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 (the “Advisers Act”) are subject to certain rules governing their use of investment track...more
On September 11, 2023, the SEC announced the settlement of administrative proceedings brought against nine registered investment advisers for disseminating hypothetical performance returns on their public websites without...more
On September 11, 2023 the U.S. Securities and Exchange Commission (the “SEC”) announced charges against nine registered investment advisers for advertising hypothetical performance to the general public on their websites...more
Less than one year after the implementation deadline of the SEC’s amendments to Advisers Act Rule 206(4)-1 (the Marketing Rule), the SEC announced a series of enforcement actions involving alleged violations of the Marketing...more
The US Securities and Exchange Commission (the SEC) announced on September 11, 2023, that it had settled with nine SEC-registered investment advisers (the Advisers) over alleged violations of Rule 206(4)-1 under the...more
On September 11, 2023 the SEC announced settlements with nine registered investment advisers (the “Advisers”) for alleged violations of the Investment Advisers Act’s new marketing rule (Rule 206(4)-1, available here, the...more
Recently, the U.S. Securities and Exchange Commission (the “SEC”) announced charges against an investment adviser (the “Adviser”) for using hypothetical performance metrics in advertisements that were misleading pursuant to...more
On June 8, 2023, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (“SEC”) issued its second Risk Alert (the “2023 Risk Alert”) on the amended Rule 206(4)-1 (the “Marketing Rule”)...more
The DOE previously announced it would prioritize the following areas during examinations: The DOE will continue to focus on these areas, as well as the dissemination of advertisements that violate certain general...more
On June 8, 2023, the Securities and Exchange Commission’s (“SEC”) Division of Examinations (“Division”) released a risk alert (the “Risk Alert”) outlining the SEC’s broadened examination priorities with respect to revised...more
On June 8, 2023, the SEC Division of Examinations staff (EXAMS) published a risk alert focused on the new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940). While this new risk alert largely mirrors...more
Securities products and social media don’t always mix. Just ask any of the celebrities who in recent years have faced SEC charges for unlawfully touting crypto asset securities. In March, the SEC settled charges against six...more