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OutboundEngine Compliance: Financial Advisors

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Committed to Financial Advisor Compliance

As a marketing services provider, we understand the complex compliance requirements Registered Investment Advisors (RIAs or firms) have to follow when producing marketing materials. That’s why we’ve built OutboundEngine with the legal and regulatory guidelines that shape your industry in mind.

  • You pre-approve content before it’s sent.
  • Our content is editorial. We don’t write anything that’s intended to be advisory in nature or that offers investment or situational advice.
  • Our policy is to archive all social media posts we make and emails we send for over two years and store them in an easily accessible place.
  • We never require or suggest a quid pro quo for referring new clients.
 

OutboundEngine understands regulatory requirements related to:

 
  • Rules and regulations of investment advisers by the U.S. Securities and Exchange Commission (SEC)
  • SEC advertising regulations under the Investment Advisers Act of 1940 (the “Advisers Act”)
  • Applicable rules from the Financial Industry Regulatory Authority (FINRA)
  • SEC Risk Alert: Investment Advisor Use of Social Media
  • SEC Guidance on the Testimonial Rule and Social Media
 

How we help keep you compliant:

Marketing Content

The content we write for your firm is informative, educational, and editorial in nature. We avoid content that is advisory in nature and gives advice on specific investments and/or what an individual “should” do in a specific situation. In the content we write, we do not lie, intentionally present misleading information, or attempt to defraud. Lastly, our content does not solicit or overtly extend investment advice to the reader. You have an opportunity to review all content before it is sent.

Email

All marketing materials we send through email are branded with your name and business contact information. We follow CAN-SPAM laws and send only to the people on your contact list. We include a standard disclaimer that you have the option to customize to meet your compliance requirements.

Social Media

The content that we share on your behalf to Facebook, LinkedIn and Twitter is meant to entertain your fans and followers rather than to offer content that is advisory in nature, directly solicits investment advice, or present fraudulent or misleading information.

Referral Campaigns

Four times a year, we run a sweepstakes for your business and supply the prize. To enter, your customers enter their contact information and answer a qualifying question like “how likely are you to make a change in career or family life (such as a marriage, new child or grandchild) over the next six months?” We also give them an opportunity to refer a friend. If someone does send you a referral, we make it clear that this will not impact their chance of winning the sweepstakes. There is no quid pro quo: entry into the sweepstakes is not dependent on someone submitting a referral.

Recordkeeping & Archival

Our policy is to keep an archive of all emails we’ve sent and social media posts we’ve made through the OutboundEngine platform. These are in an easily accessible place and are stored for a minimum of two years.

 

Disclaimer:

We work hard to deliver marketing services that follow the letter of the law and are focused on being as compliant as possible.

Ultimately, individual customers are responsible for the compliance of their marketing programs with applicable laws and regulations. OutboundEngine assumes no liability for the accuracy or completeness of this information, the information contained in any marketing programs it creates, or the compliance of any marketing program with any applicable laws and regulations. Please consult with an attorney for information on specific laws and regulations and how they apply to your business.

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