IAA 1940 Rule 204-2
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What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.
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SEC’s Atkins doubles down on cautious regulation in FT interview
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.
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Meridian Financial must pay $75,000 over Marketing Rule violations
The company claimed in an ad that it “refuse[d] all conflicts of interest” without providing context, the SEC said, among other charges.
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Seven hard truths every new Chief Compliance Officer must face
Practical tips to help you stay steady in the storm.
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Atom Investors dinged for ecomms recordkeeping lapses, but no fine imposed
The firm received no penalty because of its proactive approach, swift remediation and substantial cooperation efforts with the SEC’s investigation of a third party.
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‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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SEC Risk Alert highlights new areas of focus in Marketing Rule exams
SEC’s latest Risk Alert tells investment advisers about added areas of emphasis during Marketing Rule-focused exams.
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SEC amends safeguarding rule to enhance customer asset protection
Changes address concerns about client asset custody problems in the crypto sector.