- This Is Advisors’ No. 1 Compliance Concern – And What They’re Doing to Manage It
For the second consecutive year, investment advisor compliance professionals ranked marketing and advertising as their No. 1 compliance worry. Driving this ongoing angst is a new Securities and Exchange Commission (SEC) marketing rule, which updates advisor marketing practices, and must be followed by Nov. 4, 2022. Here’s what advisors should know about trending compliance concerns and… read more…
- Advisors, Take Note: SEC Eyes Definition of ‘Investment Advice’
The Securities and Exchange Commission (SEC) is requesting public input on whether “information providers” – specifically, index providers, model portfolio providers and pricing services – may act as “investment advisers” under the Investment Advisers Act of 1940. Some industry watchers… read more…