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…

Do you need a compliance consultant at one point in the year more than others? This is actually kind of a trick question. You may find certain times within your…

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…

When you’re choosing a new ad compliance software, there are plenty of questions you should be asking to ensure you’re getting the best fit for your organization. In fact, we’ve…

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…

One item regulators focus on during almost every audit process is the written supervisory procedures/compliance manual. With this in mind, you’d think having these guidelines in tip-top shape would be…