Compliant Advertising: Marketing Rule & “Finfluencers”

Aug 16th '22

An Securities and Exchange Commission (SEC) email campaign is going viral and creating a buzz among RIAs – changes to the marketing rule are coming and they cannot be ignored. The increased use of digital channels for customer acquisition, including social media and web platforms, is redefining what constitutes an advertisement.


Investment management firms looking to drive new client growth with testimonials, endorsements, third-party ratings, and influencers should not miss Smarsh webinar, Compliant Advertising: The Marketing Rule & “Finfluencers.” Compliance experts will discuss the new requirements and what you can do now to make updates to your advertising strategy and be ready for the SEC.


During this webinar, experts will do a deep dive into:


  • Definitions and Prohibitions: The 7 prohibited advertising practices and new definitions for advertisements
  • Recommendations: How endorsements, testimonials and third-party ratings have to be reevaluated, along with policy updates
  • Snackable Content: The regulatory response to the explosion of social media and finfluencer content that risk misleading young investors
  • Sweeps: Who is most at risk for an SEC sweep examination


Aug 24 2022, 6:00pm BST Duration: 60 mins


Reserve your place, here.


Source: Smarsh


About Smarsh

Smarsh® is the recognized global leader in electronic communications archiving solutions for regulated organizations. Smarsh provides innovative capture, archiving, e-discovery, and supervision solutions across the industry’s widest breadth of communication channels.


Scalable for organizations of all sizes, the Smarsh platform provides customers with compliance built on confidence. It enables them to strategically future-proof as new communication channels are adopted, and to realize more insight and value from the data in their archive. Customers strengthen their compliance and e-discovery initiatives and benefit from the productive use of email, social media, mobile/text messaging, instant messaging and collaboration, web, and voice channels.


Smarsh serves a global client base that spans the top banks in North America and Europe, along with leading brokerage firms, insurers, and registered investment advisors. Smarsh also enables state and local government agencies to meet their public records and e-discovery requirements. For more information, visit


About us

LS Consultancy offer a complete solution with a range of cost effective, regulatory compliance and marketing products and solutions including copy advice and copy development which are uniquely suited to supporting firms.


Contact us today for a chat or send us an email to find out how we can support you in meeting your current and future challenges with confidence.


Explore our full range today.


Contact us



Why Not Download our FREE Brochures! Click here.


Call Us Today on 020 8087 2377 or send us an email.


You can see our Google reviews here.


We’re looking for guest writers with business know-how and experience to create outstanding articles to feature on our website. Sound like you? Then find out more…


Contact us