Why firms are struggling to meet the looming deadline on the SEC Marketing Rule and how they can accelerate compliance

In a matter of weeks, investment advisers must comply with the SEC’s new Marketing Rule, a detailed, 430-page release centered around requirements to avoid untrue, unsubstantiated, or misleading statements, and to require fair and balanced presentation material.

Will your firm be ready?

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How prepared are you for the November 4 Deadline?

During a recent webinar only 18% – less than one in five – said they were ‘ready to go.’ The same number had doubts that they will make the deadline or were waiting for the deadline to be extended. Ahead of this, we explore the challenges firms have to make sure they will comply with the new rules and how firms can accelerate their plans

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