Compliance GPS: It may be a mistake to project too successful an image, especially in a post-Bernie Madoff world
Hint: photos of you on a yacht may not be what your clients are looking for right now
NCS Regulatory Compliance
Top Executive: Mark Alcaide, COO/Partner
These are great advertising pointers. Additionally, many investment advisers make the advertising mistake of making exaggerated claims. A good rule of thumb for a compliance review of an advertising piece is that if an assertion or claim about the investment adviser can’t be proven through some type of objective means, then it shouldn’t be included in the piece.