Turning up the heat’ on SEC Marketing Rule


INSIGHT
Published
Jun 16th '23
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The U.S. Securities and Exchange Commission last week issued a risk alert, ‘turning up the heat’ on Marketing Rule compliance.

 

While the regulator continues to look closely at policies, procedures and record-keeping practices, it is also now focusing on endorsements and testimonials.

 

With its new alert, SEC examiners will be undertaking a comprehensive approach to assessing compliance with the Marketing Rule“.

 

Related: SEC Risk Alert Highlights Books and Records Requirements for Investment Advisers

 

Need A Regulatory Marketing Compliance Consultant? A Bit More About Us

 

LS Consultancy is ideally placed to support firms of all sizes and types with this Financial Promotions review.

 

Need some promotional advice? If you want to understand more about how to make sure your marketing materials meet regulatory standards, please click here.

 

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