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What happens when marketing meets compliance
Lessons from the SEC’s first Marketing Rule case.
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NASAA seeks public comment on Model Advertising Rule
The model rule would harmonize state-level standards with the SEC’s Marketing Rule.
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SEC Exams in 2025: A practical playbook for private fund advisers
SEC exams are likely to stay just as rigorous, if not become even more detail-oriented.
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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Global Relay data report highlights adoption of AI by firms
AI query data as well as popular communications channels such as WhatsApp increasingly monitored by firms.
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Firm cited for Marketing Rule violations after using athlete endorsements
Investment adviser failed to mention endorsements from high-profile sports stars were paid for.
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SEC’s Marketing Rule sweep hits nine IA firms with $1.2m in fines
The sweep sent a warning to IA firms about the importance of accuracy in advertising industry awards and touting conflict free advice.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.