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.
SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
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