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Con #2: The Miranda Rights of Financial Services – Compliance, Part 2

November 26, 2012

“Past performance is no guarantee of future results.”  Well, no kidding.  If you don’t know that, should you be investing in equities?

Those are only eight of the 507 words of compliance language I was required to include in a recent press release.  It’s not the compliance officer’s fault.  Leaving those words out would be an invitation to a lawsuit.

Con #1: The Sun MAY Come Up Tomorrow

November 21, 2012

The Great Recession, the weak recovery, 9/11, the weak state of print media, and other economic and world events have had an impact on my business, as they have on other businesses.

But the greatest threat to my business is government regulation – even though my industry is virtually unregulated.