Category Archives: Marketing Communications

6 SEC Compliance Gotchas in Marketing Materials—and How to Avoid Them

Year-end is fast approaching, and now’s a great time to make sure all your compliance ducks are in a row.

According to compliance expert Amy Jones, CIPM, founder and principal at Guardian Performance Solutions, LLC, “Investment advisers are constantly struggling with how to navigate the Advertising Rule and tell their story without inadvertently committing violations. The OCIE Risk Alert is a great tool for these firms so that they can see the type of problems other firms have had and to help them avoid making the same mistakes.”

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If your CIO thinks font choice is a no-brainer, you need to read this!

When was the last time your firm updated your client report package or marketing presentations? Most asset managers do a periodic marketing material makeover, but client reports are often an afterthought. And even when doing a makeover, firms rarely pay enough attention to the three pillars of professional presentation materials—color, font and information organization.

At Assette, we see a lot of asset manager presentations and reports, and these pillars are usually neglected in favor of flashy graphics. Lacking a solid design foundation, graphic elements are like runaway balloons—your audience has nothing to ground them, and your messaging is lost. As an industry, we can do better!

First impressions matter

That’s why we launched our “First Impressions Matter” initiative.
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Get a Jump on GIPS®: How to treat preliminary results

By Amy Jones, CIPM, Guardian Performance Solutions LLC

To make sure your firm is ready for GIPS ®, please read Amy Jones’ full paper “Are Your Firm’s GIPS® Materials Current?

The use of preliminary results is not prohibited by the Global Investment Performance Standards (GIPS®) standards. The GIPS® Guidance Statement on Alternative Investment Strategies and Structures actually addresses this issue by contrasting estimated versus final valuations. The guidance statement entertains the idea that estimated (i.e., preliminary) values may be used, but if final values are materially different and a subsequent revision is necessary, the firm’s error correction policy must be considered.

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New Year! New Looks! It’s time for new presentation books!

Your firm’s marketing presentations and client reports are viewed by hundreds of asset owners, consultants and trustees every year. They are arguably the most public face of your firm, shaping impressions each time they are reviewed.

When was the last time your firm updated your client report package or marketing presentations? Most asset managers do a periodic marketing material makeover, but client reports are often an afterthought. And even when doing a makeover, firms rarely pay enough attention to the three pillars of professional presentation materials—color, font and information organization.

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Words that Sell

10 steps managers can take to create effective marketing and client materials

10 tips for a well-defined and well-executed project that will move clients and prospects to action.

Whether you’re refreshing your sales presentations or crafting the next quarterly letter, it IS possible to keep your dignity and still be persuasive. Here’s how.

Before you do anything, identify what you want to achieve through this communication project by asking your team these questions:

  • What is the project’s objective?
  • What client/prospect action will result?
  • How will we evaluate success?

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