SEC IA Ad Rule

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IA marketing mistakes to avoid

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The rash of SEC enforcement actions against advisers for marketing mishaps means when Commission staff talk about what not to do, it’s time to listen
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Adviser fined over endorsements, performance

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It can be tempting to use endorsements given that the SEC’s new IA advertising rule now permits them. But be sure to navigate carefully the new rule’s requirements or you could end up writing a check to the Commission
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IA Rules & Regulatory Actions

Adviser fined $250k for endorsements that don’t satisfy marketing rule

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Wahed failed to include any disclosure in the advertisement on its website stating that the athlete was not a current client, that compensation was provided for the endorsement, and that there was a material conflict of interest on the part of the professional soccer player resulting from his ownership stake in Wahed
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Marketing rule sweep nets nine IAs

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The dissemination of ads that included "untrue or unsubstantiated" claims and testimonials, endorsements, or third-party rankings lacking required disclosures were among violations

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About this page

A new SEC investment adviser advertising rule is now in place. The new rule opens the gates to a wider use of social media by advisers, permits the use of testimonials and endorsements, sets requirements around disclosures and establishes standards when using performance or hypothetical advertising, among other changes. The new rule affects private fund advisers as well. This editorial tent-pole collects in one place all that you’ll need to comply with the new rule.

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