Compliance with the Securities and Exchange Commission's marketing rule has been named advisors' top chore for the third year in a row. That's according to the latest Investment Management Compliance ...

No need to bring a crib sheet, the US Securities and Exchange Commission (SEC) Division of Examinations just revealed (some of) this year’s test.

Communications such as using personal texts with clients topped the marketing rule as the ‘hottest’ SEC regulatory concern for investment advisories. Communication done outside of work channels is the ...

The Securities and Exchange Commission’s marketing rule continues to dominate compliance department concerns at investment advisor firms, according to the 2023 compliance survey conducted by the ...

The regulator has added three new areas of review to the adviser marketing rule that has been in effect since late last year. The Securities and Exchange Commission on Thursday issued a risk alert to ...

The risks and benefits of using artificial intelligence (AI) to invest currently are a subject of intense debate. However, at the same time, firms are testing and implementing new ways to enhance ...

Can You Afford Noncompliance with SEC Regulation R... Can You Afford Noncompliance with SEC Regulation Requirements? The Three Steps for Optimal Financial Advisor Compliance How to Achieve Steady ...

Investment advisors seem to have absorbed the message that regulators are serious about the requirement that firm personnel must only use approved communications channels that are recorded and ...