Home Advertising/Marketing

Advertising/Marketing

Business statistics concept. Marketing. Analysis. Management strategy.
You may not always agree with your regulator’s stance but you often have little choice but to heed it
Broker-dealer charged for failing to preserve and review over 1.25 million business-related electronic communications on four platforms
Close-up stock photograph showing a touchscreen monitor being used in an open plan office. A woman’s hand is asking an AI chatbot pre-typed questions & the Artificial Intelligence website is answering
The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
Woman holding ai icons with laptop
Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
New guidance raises more questions than answers, will 'ruin someone's two months,' compliance consultant says
Business people watching a presentation on the whiteboard. A man is writing on the whiteboard with charts and graphs. They are sitting in a board room, there are laptop computers and technology on the table. All are casually dressed. There is a window behind him with city views.
It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...
Businessman hand caught on a fishing hook with bait dollars money banknote. Business concept idea. fraud, risk, danger, bribe
Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...
A photo of a business meeting in a modern office with large windows. A businessman is standing up while his colleagues are sitting down. They are smartly dressed. Horizontal daylight indoor photo.
Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners
Cybercriminal experts solving IT problems
A source shares with RCW a copy of a new DOE exam letter described as a new sweep exam tied to the new IA marketing ...
Stressed businessman tripping above green meadow to catch his flying file folders
The adviser would 'periodically' have its disclosures 'reviewed and revised by WAM’s internal and external legal and compliance professionals, but those revisions did not adequately ...
rcw
rcw

Copyright PEI Media

Not for publication, email or dissemination