Marketing Compliance for Financial Advisors

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One of the best ways to ensure you don’t break any rules is
to involve compliance in your workflow’s review process.

But that’s not always a possibility. So, our EVP of Marketing, Matt Seitz, worked with our in-house compliance department to put together a best practice guide to maintaining compliance with your marketing and advertising, so you don’t incur any steep penalty fees.

This Advisor Guide explains how to:

  • Devise a SMART Compliance Plan
  • Follow the Rules
  • Advise Don’t Suggest
  • Keep Up with Compliance Trends
Marketing Compliance
Matt Seitz

Matt Seitz is the Executive VP of Marketing at C2P Enterprises; and CMO for JL Smith, an independent retirement planning and wealth management firm. In his role, Matt has spearheaded the digital growth of the company, reinforced branding, and implemented content marketing strategies to drive leads into the sales funnel.

Matt has over 15 years of marketing and sales experience in the professional services and financial services industries, as well as ac-counting, insurance, and construction. He has degrees in marketing, management, and human resources. His professional philosophy is grounded in relationship marketing—focusing on customer service and satisfaction through data-driven marketing plans with clear ROI.

Matt’s areas of expertise include strategic planning, digital marketing, lead generation, and content marketing, receiving industry recognition for content marketing, video marketing, and lead generation campaigns. He is an author and speaker on a variety of marketing and business development topics.