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A Quick Guide to Preparing for Your Next Compliance Review - Blog

 
Monday, January 25 2021
Blog

Modernized Marketing Rule for Investment Advisers

On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers. These rules were developed under the Investment Advisers Act of 1940 and have not been... [...]
Wednesday, January 13 2021
Blog

Why You Need a Centralized Review Process

When you’re the compliance portion of the advertising review process, you’re expected to move fast. Once a piece makes it to your desk, it’s not uncommon to notice your marketing... [...]
Wednesday, December 16 2020
Blog

New Rule Update

On November 30, 2020, the North American Securities Administrators Association (NASAA) announced its membership has voted to adopt a model rule to set parameters by which NASAA members could implement... [...]
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