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?
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
Download this eGuide to learn:
What's included in the new SEC Marketing Rule
Why firms and advisers are struggling to meet the deadline
How firms and advisers can accelerate compliance