Finalto releases new Broker Series entry with focus on marketing / compliance

Finalto is excited to announce the release of its latest entry in the Broker Series, with a focus on marketing and marketing compliance. This new publication explores the evolving movements of retail trading and the reactive regulatory action that comes with it. It offers brokers practical insights for navigating the challenges of marketing to diverse audiences while navigating constantly changing expectations from regulators.

Retail investor activity spiked in 2021, accounting for nearly 25% of the total trading volume in the equities market according to one study. With the rise of digital platforms, a new type of trader has emerged, keen to participate in financial markets. This publication addresses how brokers can engage this new audience while maintaining their existing customer base. Learn how you can help this new demographic find their place without alienating more traditional clients.

In the entry of the broker series, Finalto examines how brokers can bridge the gap between different audiences, crafting brand identities that resonate with both retail and institutional clients. As well as the fundamentals of branding, including how a cohesive brand strategy is shaped by mission, vision, and values. Klelia Orphanidou, B2B Head of Regulatory Compliance at Finalto, commented,

“Compliance in marketing isn’t just about ticking boxes and avoiding penalties. It’s about building a culture of responsibility and fostering long-term relationships and brand loyalty.”

Regulatory compliance can be a real strength for your business, explore what you can do to help stay on track as the trading demographic widens.

This entry unpacks a broad spectrum of marketing strategies, emphasizing the importance of leveraging social and affiliate marketing to appeal to different trader profiles while maintaining compliance with regulatory standards. Recognizing the importance of regulatory compliance, the guide provides practical tips on adhering to regulations while promoting a brokerage business. Finalto’s new Broker Series entry provides valuable insights for brokers seeking to stay ahead in a rapidly evolving market while effectively managing diverse customer needs.

If you would like to know more about the fully compliant financial services solutions Finalto offers across multiple jurisdictions, don’t hesitate to reach out to the Finalto Sales Team here.