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IAA/CFA Institute Survey Report on SEC Marketing Rule Compliance
The CFA Institute United States Investment Performance Committee (USIPC) and the Investment Adviser Association (IAA) conducted a survey to identify current practices for complying with the performance requirements of the Marketing Rule.
August 08, 2024
Summary Report: 2024 Investment Management Compliance Testing Survey
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 15, 2024
October 2023 Sample Examination Letter – Boston – Marketing Rule and ESG
This is a sample SEC examination letter from October 2023 from the Boston office that includes questions on the Marketing Rule and ESG investing.
October 31, 2023
Client alert on private fund adviser performance under the marketing rule. By Stephanie Thomas, Aaron Russ, and Jeffrey Lau of Morrison Foerster.
October 31, 2023
Summary Report: 2023 Investment Management Compliance Testing Survey
For the third year in a row, implementing the SEC’s Marketing Rule for Investment Advisers remains the number one focus for investment adviser chief compliance officers, according to the 2023 Investment Management Compliance Testing Survey.
July 13, 2023
June 2023 Sample Enforcement Sweep Letter – Boston – Marketing Rule
This is a sample SEC enforcement sweep letter from June 2023 from the Boston Regional Office regarding the Marketing Rule.
June 23, 2023
June 2023 Sample Examination Letter – New York – Marketing
This is a sample SEC examination letter from June 2023 from the New York office regarding the Marketing Rule.
June 22, 2023
Marketing Rule Compliance Checklist
To help members stay compliant with the Marketing Rule, the IAA has created a Marketing Rule Checklist – an interactive guide to help advisers implement marketing efforts at their firm. Among other important information, this checklist identifies key areas to consider and provides suggestions for complying with the rule.
January 09, 2023
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