After 60 years of prohibition, the new SEC Marketing Rule finally permits financial advisors to join other trust-based professionals like doctors and lawyers where client testimonials and online reviews are a powerful marketing tool to grow their business. For financial advisors interested in attracting more business owners to their practice, testimonials from current clients will accelerate the trust building process, drive a higher prospect conversion rate, and create a strategic advantage that compounds over time. But the SEC requires financial advisors tread carefully when requesting and promoting online reviews, by following prescriptive regulatory guidance spelled out in their 400-page Marketing Rule. In this session, we’ll review the role and importance of testimonials and online reviews in other trust-based professions, followed by a discussion of the SEC Marketing Rule and key highlights. We’ll then discuss how financial advisors and wealth managers can get started with testimonials to grow their business effectively and compliantly. Learning Objectives: Why online reviews matter; Industry assessment. The SEC Marketing Rule and their about-face. Why review sites like Google and Yelp are problematic. How to grow your advisory business with online reviews. Thank You to Our Sponsor:  

A business’s most catastrophic risks are the ones that are the least likely to occur. Learn how to mitigate against devastating risk; and by doing so, create an investment opportunity for business succession. Learning Objectives: Discover how to procure insurance coverage for low probability yet high severity risk Secure an investment opportunity through your own good risk management Explore tax efficient practices to create a profit center Thank You to Our Sponsor:  

Small companies have been significant targets of cybercrimes since 2020. During the same period, each state and agency have begun to adjust regulatory laws and fines to address the outcomes of these crimes. During our time, we’ll look at the top cybercrimes in the industry, the aftermath of a cybercrime on a small business, solutions to severely lower the risk of an attack on an agency, and best practices for safety and compliance. Learning Objectives: Understand the cybercrime landscape for small businesses. Small businesses will understand the risk of cybercrime to their everyday business and the value of their overall business. Learn what happens before, during, and after a cyberattack. Learn common misconceptions of cybersecurity and an introduction to the facts. Small businesses will learn how to dramatically lower their risk of falling prey to a cyberattack. Small businesses will understand a basic understanding on the compliance requirements. Thank You to Our Sponsor:  

An ESOP, or employee stock ownership plan, provides a tax-advantaged solution that can meet a company’s needs in a variety of situations. ESOPs can be used to generate shareholder liquidity, create a market for the shares of a closely help company, increase employees’ productivity by making them beneficial owners, and support a tax-advantageous exit strategy for departing shareholder(s). In his upcoming presentation, “ESOPs as an Exit Planning Strategy,” SES ESOP Strategies’ Mark Russell will offer attendees a more thorough understanding of ESOPs as a business exit planning strategy, including the options, mechanics, benefits, risks, and ideal candidates. Learning Objectives: Some of the myths associated with ESOPs The benefits and pitfalls of utilizing an ESOP Some business succession planning considerations What type of situations are best suited for an ESOP Thank You to Our Sponsor: