How to Create Compelling and Compliant, Content

Staying Ahead of the Regulatory Curve

As a financial advisor, you understand the importance of creating compelling content that resonates with your ideal client. Sharing useful and informative content helps position you as a trusted resource for financial advice.

However, in today’s rapidly evolving regulatory environment, you also face the complex challenge of ensuring meticulous compliance with industry standards. The last thing you want to do is create compliance issues and fines for yourself while trying to gain new business.

For guidance on this topic, two of C2P’s resident compliance officers weighed in; Dustin Anaas and Kerry Darrington. They shared their insights on how advisors can navigate this sometimes-rocky terrain with confidence and precision.

Avoiding Common Compliance Missteps when Creating Content

One of the most frequent issues Anaas encounters when reviewing advisor content is a lack of proper substantiation. “If you’re making a claim, it’s critical to back it up with reputable sources,” he advised. “Unsupported statements are a red flag for regulators.”

Other pitfalls to watch for:

• Promissory or definitive language that could be perceived as guarantees
• Outdated or inaccurate professional designations and memberships
• Inadequate or missing disclosures, especially related to conflicts of interest

Being aware of these potential pitfalls can help protect you and your valued clients by ensuring your content meets the highest standards of accuracy and transparency.

Harnessing the Power of AI – Compliantly

Generative AI tools like ChatGPT offer exciting potential for streamlining your content creation process. However, they also introduce new compliance considerations that require strategic management.

Anaas recommended using AI primarily for ideation and outlining, rather than relying on it for publish-ready content. “Think of AI as a sophisticated brainstorming partner,” he suggested. “It can help you efficiently generate ideas, but you still need to rigorously fact-check the output and refine the language to align with compliance guidelines.”

Navigating High-Stakes Topics

As a trusted advisor, it’s key to proactively address timely issues that impact your clients’ financial well-being. However, certain topics warrant extra caution from a compliance perspective.

Darrington flagged discussions of investment returns and performance as particularly treacherous territory. “If you’re going to reference returns, work closely with compliance to ensure you’re providing essential context and disclosures,” she advised. “Cherry-picking top-performing accounts or highlighting short-term results can be misleading to clients.”

Other sensitive subjects:

• Definitive statements about election outcomes and impacts of legislative policy
• Guarantees or projections about future tax laws and regulations
• Content that could be understood as providing specific investment advice

When addressing these nuanced topics, Anaas suggests framing your commentary as educational rather than advisory. You can provide objective information and analyze potential scenarios but should refrain from making specific recommendations. As always, refer back to your formal disclosures to ensure transparency and compliance.

Testimonials: Proceed with Precision

While the SEC’s new marketing rule permits advisors to feature client testimonials, compliance analysts recommend proceeding judiciously. Displaying a testimonial isn’t inherently problematic, as long as you’re including clear, prominent disclosures.

However, proactively soliciting testimonials can venture into murky regulatory waters. Dustin suggested taking an opportunistic approach: “If a client spontaneously sends a glowing review, consider asking if you can feature a powerful excerpt on your website with appropriate disclosures. But large-scale testimonial campaigns require meticulous compliance vetting.”

Crafting Your Compliant Content Strategy

As you develop your content marketing plan, prioritize a proactive partnership with your compliance team. Schedule regular strategic check-ins to align on key topics, review language, and ensure your materials meet rigorous standards.

Unlock Your Content Potential with C2P

Ready to elevate your content marketing to new heights while confidently navigating the complex compliance landscape? C2P provides a range of ready-made content solutions and personalized compliance support to help you grow your business while following important regulations.

Book your consultation today to explore how C2P can amplify your voice and streamline your compliance processes.

Make More Compliant Content

Learn More from Industry Leaders

This blog post is based on insights from our On-Demand podcast series.

Stay up to date with the latest financial planning strategies by subscribing to our podcasts at C2P:

• The Bucket Plan® On Demand
• The Rainmaker Multiplier On Demand

For Financial Professional Use Only

The information provided in this presentation is not intended as investment advice or legal advice. The information provided is for informational and training purposes only. The information in this presentation was accurate as of the time the material was created. Tax laws and rulings can frequently change. Please discuss the client’s current situation with an accountant or tax advisor.

We’ve said it before, but we’ll say it again: staying ahead of the curve is crucial for financial advisors looking to connect with clients and grow their practices.

Our team recently attended HubSpot’s INBOUND 2024 conference, and we’re excited to share some game-changing insights that can help transform your marketing strategy.

Let’s dive into the key takeaways and how they apply specifically to financial advisors.

Key Takeaways from the INBOUND Conference

Embracing AI: Your New Marketing Assistant

Artificial Intelligence (AI) was a hot topic at INBOUND, and for good reason — it can help you save time and enhance your potential complementing your strengths and supporting areas where you might be less confident.

As a financial advisor, you can leverage AI to:

• Create & Repurpose Content: Transform your podcast transcripts or client presentations into blog posts, social media content, or email newsletters.
• Improve Research: Gather and summarize industry trends, helping you stay informed and providing valuable insights to your clients.
• Personalize Communications: Analyze client data and create more targeted, personalized communications.

Key Tips for Efficient AI Prompting Results

When using AI it’s helpful to teach the software you’re using what a good outcome looks like for your specific needs by providing positive feedback when you get what you’re looking for. You should also speak to AI like a human, not with rigid prompts, to get more natural and useful responses. And when you do get ideal outcomes, use those prompts to create templates for future use.

Email Marketing: Standing Out in the Inbox

Email remains a powerful tool for financial advisors, but competition for attention is fierce. Here are some strategies to make your emails more effective:

• Timing is Everything: Be aware that open rates tend to drop in the weeks leading up to major events (like elections). Plan your most important communications accordingly.
• Subject Line Tactics: Use negativity as an incentive (e.g., “Why Financial Planning Mistakes Could Cost You Thousands”). Also, try capitalizing one non-first word in your subject line—it’s been shown to increase open rates by 18%!
• Personalization is Key: Customize your “Send from” address based on content or industry. For example, use “John Smith – Retirement Planning Specialist” instead of just your firm’s name.
• Call-to-Action (CTA) Optimization: Use CTA sentences instead of buttons. For example, “I want to secure my financial future!” performs better than a simple “Learn More” button.

Email Trends and Updates:

An important development to note is that preview text is going away, which means your recipients won’t be able to see a short sentence aside the subject line, which is usually used to get them to open the email. See the “What happened in September?” line in the example below:

This means that now that the address your emails come from is becoming more crucial as it’s now used as the start of the subject line. See in the example inbox above how the sender, Ryan Malone, adds that he is the CEO of Smartbug instead of only providing his name like the sender, Tony Herrera, does in the second email listed.

For financial advisors sending emails to clients or prospects, the address your emails come from could say, “Advisor Name or Firm, Financial Services” to help stand out in a crowded inbox.

The latest advancements in AI are starting to apply to email as well.  Eventually, Apple will use AI to filter emails in their mail app that comes standard with iPhones. These emails will automatically be sorted into one of four categories: “primary,” “updates,” “promotions,” or “transactions.” This means that your emails need to include AI trigger words like, “important update,” “event registration,” “preview,” or “action required…” to ensure they are sorted into the primary or updates tabs where they’re more likely to be seen.

And while this is not a new idea, it is perhaps the most important thing to remember in email marketing: you should always be providing genuine value or giving something to the reader, whether it’s insights, tips, or exclusive content.

Content Marketing: Quality Over Quantity

In the world of financial services, trust is everything for your clients and prospects. Your content strategy should reflect this:

• Focus on Engagement: It’s not about how much content you create, but how much your audience engages with it. Prioritize sharing valuable insights that prompt discussion and questions.
• Test and Repurpose: Use platforms like LinkedIn to test which topics resonate most with your audience. Then, expand successful posts into more in-depth content like whitepapers or webinars.
• Update Existing Content: Regularly updating your evergreen content (like guides on retirement planning or investment strategies) can be just as effective as creating new pieces.

Social Media: Authenticity Wins

Financial advisors can leverage social media to build trust and showcase their expertise, especially by integrating video. Here’s how:

• Embrace Lo-Fi Content: Don’t be afraid to show your human side. A quick video shot on your phone discussing a market trend can be more engaging than a polished studio production.
• Leverage Short-Form Video: Use platforms like LinkedIn, Facebook, or Instagram to share quick tips or insights via video. Remember these five keys: start with a hook, use three-second shots, make it progressive, include a relevant payoff, and keep it concise.
• Encourage Team Participation: Have your team members share and engage with your firm’s content. This multiplies your reach and adds a personal touch.

Webinars and Events: Maximizing Impact

Financial advisors hosting webinars and events isn’t new information. However, here are a few ways to enhance your event strategy:

• Recycle Event-Related Content: After running a webinar, use AI to summarize transcripts for key takeaways, create blog posts, or even develop eBooks or guides.
• Create Micro-Events: Consider shortening your webinar length or hosting a series of micro-events leading up to a larger one.
• Focus on Engagement: Measure success by how engaged your audience is, not just by attendance numbers.

Event Marketing Tips:

Keep in mind that when attending your events, live or virtual, people care more about the event topic than the speakers. Ensure your subject matter is highly relevant to your target audience and you put the emphasis on what attendees will get out of the experience. Another way to build interest in your events is to create a sampler approach with your content, meaning give a glimpse of your value to entice people to come back for more.

Finally, don’t be afraid to share content more than once. Good content creators say the same thing in different ways to reinforce key messages.

The Road Ahead: Financial Advisor Marketing in 2025

As you build out your 2025 marketing plan, a successful approach for financial advisors lies in balancing technological advancements with the irreplaceable human touch. By leveraging AI, optimizing your email strategy, focusing on high-quality content, and embracing authentic social media engagement, you can create a marketing approach that not only reaches potential clients but also builds lasting relationships.

Want to learn more about implementing these marketing strategies and enhancing your client services? Book a call with our team at C2P to explore how we can help you stay ahead of the curve and provide exceptional value to your high-net-worth clients.

Subscribe to our podcasts for regular updates on marketing strategies, financial planning techniques, and industry insights to keep your practice at the forefront of wealth management. Our podcasts include The Bucket Plan®, The Rainmaker Multiplier, or A Woman’s Clarity®.

For Financial Professional Use Only

The information provided in this presentation is not intended as investment advice or legal advice. The information provided is for informational and training purposes only. The information in this presentation was accurate as of the time the material was created. Tax laws and rulings can frequently change. Please discuss the client’s current situation with an accountant or tax advisor.