Advertising/Marketing

The final rule recommends other best practices, such as “conducting periodic training, obtaining attestations, and periodically reviewing content that is publicly available on associated persons’ ...

Wahed Invest had no written policies and procedures addressing how it would assure Shari’ah compliance on an ongoing basis or how it would calculate and ...

Second-ever risk alert rings alarms over accurate disclosures, advertising, books-and-records, due diligence and hedge clauses

One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year ...

CMG prepared hypothetical, backtested performance results and the backtest was not adequately correlated with the securities they replaced in the live strategy

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These come courtesy of Ellen Bruno of Compliance Advisor Professionals in Berkley, Mass

Manager, adviser didn't disclose until after the SEC came calling, order says

This is what the new SEC IA ad rule says about use of testimonials

Matt Lovett, CCO at Brookstone Capital Management ($3.5B in AUM) in Wheaton, Ill., shares his firm's new testimonial P&P under the SEC's new IA ad ...