Advertising/Marketing

This guidance proves especially helpful because RCW has confirmed from multiple sources that the SEC won’t be issuing any more FAQs to help the industry ...

Compliance officer Craig Watanabe agreed to share with RCW his program for getting ready for the ad rule, plus two great tools that can help ...

This comes courtesy of Craig Watanabe, director of IA compliance at DFPG Investments ($1B in AUM) in Sandy, Utah

Click here to download an Excel file containing sample disclosures for the SEC‘s new IA advertising rule. This comes courtesy of Craig Watanabe, director of ...

Settlement shows SEC won't wait for new rules to crack down

Private funds in most danger from new regulatory regime

'The worry is the SEC will fill in the grey areas by rulemaking through Enforcement, and that certainly doesn’t benefit anyone,' says a CCO

Over one-quarter of respondents to the Form ADV advertising questions indicated that they include performance information in advertisements

System changes triggered a programming defect in BIDS trade advertising software

The agency will release 'quite a bit of guidance' to help with compliance with the new IA ad rule 'between now and the November compliance ...