Survey: New SEC marketing rule leads investment adviser compliance concerns
By 
Jaclyn Jaeger2021-09-08T19:51:00
Implementing the SEC’s new “marketing rule” for investment advisers tops the list of concerns among chief compliance officers in the industry, according to new research.
THIS IS MEMBERS-ONLY CONTENT
You are not logged in and do not have access to members-only content.
If you are already a registered user or a member, SIGN IN now.
Related articles
-
ArticleAs new SEC marketing rule takes effect, many questions remain
The 18-month probationary period for the new Securities and Exchange Commission marketing rule for investment advisers has expired and compliance with the rule is now mandatory.
-
ArticleNine fined in SEC crackdown on custody rule, Form ADV
Nine investment advisers failed to follow Securities and Exchange Commission rules designed to keep clients’ assets safe and/or timely disclose financial updates following audits, the agency announced.
-
ArticleNew SEC marketing rule offers opportunities, compliance challenges
The SEC’s new marketing rule allows certain types of advertising, endorsements, and testimonials that were previously prohibited. Investment advisers are “excited” about the new possibilities—but compliance officers must warn them of the risks.
More from Surveys & Benchmarking
-
AnalysisSuccess in upper management is about relationships, not skills
The compliance world is filled with numbers, rules and regulations. But the soft skills of management and relationships are critical too, and they can make the difference between making it to higher level leadership or not.
-
AnalysisIf artificial intelligence screws up, you’re probably using the wrong one
As companies increasingly test artificial intelligence throughout their workforce and product lines, early adopters say an important rule is to pick the right AI for the job.
-
PremiumPepsiCo’s Farzin Firooznia is the 2025 Compliance Officer of the Year
Some compliance teams consider it outside their roles to learn the ins and outs of their businesses, and something to explore when they have time.