- New Investment Adviser Marketing Rules Take Effect May 4🔍
- New SEC Marketing Rule Will Have A Material Effect On The ...🔍
- SEC Releases Second Risk Alert on Marketing Rule🔍
- SEC Risk Alert Spells Out the Agency's Expectations for Investment ...🔍
- SEC Proposes Amendments to Advertising and Client Solicitation ...🔍
- SEC Risk Alert on Advisers Act Marketing Rule Compliance🔍
- SEC Enforcement Actions Related to the Marketing Rule🔍
- SEC Amends Investment Adviser Advertising & Solicitation Rules🔍
SEC Guidance on Client Testimonials and Third|Party Endorsements
New Investment Adviser Marketing Rules Take Effect May 4, 2021
The Marketing Rules prohibit several types of marketing practices and regulate the use of testimonials, endorsements, third-party ratings and ...
New SEC Marketing Rule Will Have A Material Effect On The ...
Advisers may use testimonials and endorsements, provided the advisor discloses who in providing the testimonial, the reason for promoting the ...
SEC Releases Second Risk Alert on Marketing Rule - Quest CE
Disclosures are provided including clear and prominent disclosure of whether the person giving the testimonial or endorsement (the “promoter”) ...
SEC Risk Alert Spells Out the Agency's Expectations for Investment ...
As noted in the June 2021 Investment Management Update, the Marketing Rule will require Advisers to have a “reasonable basis” for believing that ...
SEC Proposes Amendments to Advertising and Client Solicitation ...
... testimonials (including endorsements and third-party ratings) and past specific recommendations. It also would address the appropriate ...
SEC Risk Alert on Advisers Act Marketing Rule Compliance
Did not address the Marketing Rule's "General Prohibitions" and requirements for testimonials, endorsements, and third-party ratings utilized in RIAs' specific ...
SEC Enforcement Actions Related to the Marketing Rule - Dinsmore
... testimonials, endorsements or third-party ratings that lacked required disclosures. ... client;. (ii) that cash compensation was provided ...
SEC Amends Investment Adviser Advertising & Solicitation Rules
Testimonials, Endorsements, and Third-Party Ratings · must prominently disclose the date on which the rating was given and the period of time ...
Correspondence & advertising | Communications | Ethics - Achievable
The new SEC rule updates two general rules - the definition of advertising and the ability for investment advisers to publish endorsements and/or testimonials.
How SEC Marketing Rules for Investment Advisers are tested on the ...
The adviser is required to enter into a written contract or agreement with the person providing his or her testimonial or endorsement unless the ...
Similarly, investment advisers are also liable for third-party content that constitutes a compensated testimonial or endorsement under prong 2 of the definition ...
What investment advisers should know about the SEC's proposed ...
The SEC notes that consumers in various marketplaces often utilize statements by a client concerning the client's experience with the adviser ( ...
Guidance on Investment Adviser Advertisements & Solicitors for ...
... client to any third party unless ... advertisements include performance results, testimonials, endorsements and third-party ratings and if the.
SEC Marketing Rule Compliance: Essential Tips For RIAs
In other words, we believe that the “clear and prominent” standard requires that the disclosures be included within the testimonial or ...
The SEC's New Marketing Rule - Webinar Takeaways - Bates Group
A third slide is a flowchart which focuses on marketing rule compliance regarding testimonials and endorsements. Testimonials are given by a ...
SEC Adopts Amendments to Investment Adviser Advertising and ...
As discussed above, the Marketing Rule expands the definition of “advertisement” to include endorsements and testimonials, with the practical ...
SEC Adopts New Framework for Investment Adviser Marketing - Adisa
... advice, testimonials, endorsements, third-party ratings, hypothetical performance or predecessor performance. Item 5.L also asks (via a yes/no ques- tion) ...
Marketing Rule Implementation – Are You Ready for November 4th?
The Rule will permit an advertisement to include testimonials and endorsements, which are generally subject to the following conditions: (i) ...
SEC Risk Alert on Compliance with the Marketing Rule
As for Form ADV, the Alert notes that in certain cases advisers failed to indicate that they published third-party ratings and actual or ...
SEC Proposes to Modernize Advertising and Solicitation Rules for ...
... testimonials, endorsements, and third-party ratings, subject to certain conditions. ... client's interest without such client's consent. In ...