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The sweep sent a warning to IA firms about the importance of accuracy in advertising industry awards and touting conflict free advice.
How to comply with compliance rules on both sides of the Atlantic without being penalised.
Marketing comes in second place, with artificial intelligence appearing for the first time to complete top three.
We spoke to David Berman and Emily Lemaire about greenwashing your products, your services and your firm. Tips and best practices.
The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.
The SEC charged five RIAs for Marketing Rule violations, pointing to misleading and improper hypothetical advertising in particular.
The firm failed to prevent the misuse of potentially material, nonpublic information and misleading communications to current and prospective investors.