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Summary: If you're a fisherman, exaggerating the size of the fish you caught is a tradition. When you're an investment adviser, however, exaggerations can get you caught up in compliance problems. Like all business owners, advisers need to sell themselves to prospective clients, but they should never oversell their abilities and experience. Although they might hook a few more clients with exaggerations, they are also likely to lure examiners to their offices.
 In many cases, advertisements and social media profiles contain misinformation, because they are not kept up-to-date. CCOs should stay on top of this information to ensure that it has not become stale and misleading.Les Abromovitz, attorney and senior consultant, National Compliance Services. |
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