Marketing for investment firms is a balancing act.
Naturally, you want to stand out in a highly competitive field, create content that really resonates, and earn your audience’s trust.
But you have to tread carefully. Pursuant to the SEC Marketing Rule, making promises, guarantees or even casual implications of future results is verboten, meaning you really must be careful when it comes to discussing one of the most important aspects of what you do: performance.
So how do you create credible, compelling content without overstepping the clearly defined bounds? Here are some tips on striking the right balance.
1. Educate, Don’t Speculate
Don’t break out a crystal ball and predict market trends or outcomes. Instead, concentrate on positioning your firm as a trusted resource for financial education that will enable readers to make better decisions for themselves.
Complex topics should be broken down into simple, easily digestible content. For example, you might design an infographic that lists the pros and cons of different types of investment vehicles, create a glossary that defines industry terms or host a webinar about how to diversify a portfolio.
Educational content builds trust and establishes your firm as an expert in your industry. No promises necessary!
2. Don’t Downplay Risk
Credibility starts with transparency. That means being cognizant of stating that all investments carry risks, and that past performance doesn’t guarantee future results.
Current and prospective clients want to see you taking potential risks seriously. It shows that you have their best interests at heart and that you’re making a good-faith effort to set realistic expectations rather than telling them what you think they want to hear.
3. Create Case Studies
Done properly, case studies can be a great way to show your expertise without crossing into dangerous territory. They allow you to highlight the strategies you’ve used and the decisions you’ve made without framing the outcome as typical or guaranteed.
For example: “Our firm helped a midsized business owner diversify their portfolio by incorporating real estate investments, which aligned with their long-term goal.”
This approach shows off your strategic thinking skills without implying that every client will experience the same success.
4. Use Testimonials Wisely
If you want to build trust, you can’t beat client testimonials — but it’s important to use them thoughtfully. Never edit or curate them in a way that suggests you’re promising anything. Instead, focus on client satisfaction.
- Safe: “Working with [Your Firm] gave me clarity and confidence in financial planning and I appreciated that someone was always available to answer my questions.”
- Risky: “[Your Firm] helped me double my portfolio in just one year!”
Keep the focus on the client’s experience rather than their results.
5. Be Savvy With SEO
Ranking on search engines is important, but the keywords you use need to be designed with compliance in mind. Ditch overly aggressive terms like “no-risk investments” or “guaranteed returns” and opt for phrases like “thoughtful investment strategies” or “navigating market volatility” instead.
Using phrases that are both informative and compliance-friendly helps you attract traffic without making promises you might not be able to keep.
6. Run It By the Compliance Team
Every piece of content you put out — whether it’s a blog, email marketing message or a simple social media post — should go through a compliance review. Work closely with your compliance team and get to know their concerns and priorities. This will save everyone plenty of time (and Tylenol) in the long run.
7. Spotlight the Process, Not the Outcome
Instead of focusing on potential results, show off your methodology. For instance, explain the way your firm assesses risk, tailors strategies for individual goals, or stays updated on the market trends. This will give your audience some insight into your expertise without crossing any lines.
8. Stay Up to Date on Regulations
Especially as it pertains to recycling old content, make sure the marketing content you create reflects the latest regulations. Internal resources, professional networks and industry webinars will help you stay informed and keep you out of hot water.
Avoid the Broken Promise Land!
For investment firms, marketing can feel a whole lot like walking on eggshells. But it doesn’t have to be that way! When you focus on education, transparency, and strategy, you can create fantastic content that wows your audience while staying on the right side of the Marketing Rule.
At Mischa Communications, we specialize in helping financial services firms just like yours. Whether you need help with content creation, SEO, or compliance-friendly campaigns, we’re here for you. Let’s talk!