By now, firms in the financial industry have had time to understand and grasp some of the many components of the New Marketing Rule, but with the deadline being close to a year away – have you begun to prepare?
As an industry, we’ve long-awaited modernization of SEC Rule 206(4)-1 (Marketing Rule) under the Investment Advisers Act of 1940. While most changes that a firm will need to make to comply with the new Marketing Rule are performance-related, do you and your firm understand the needs, impacts, and/or changes that are necessary to be compliant by November 2022?
Join panelist Tina Mitchell (Managing Director, Consultation Services, Core Compliance & Legal Services, Inc.) for a client-exclusive webinar to discuss the changes and potential impacts to your firm relating to the New Marketing Rule.
Attendees will learn:
New Definition of Advertising
Key considerations – Summary of rule changes
Interpreting and applying the new “principles-based” standards
New requirements for performance advertising
Repeal of the Solicitation Rule
Use of testimonials, endorsements, and third-party rankings
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