SEC Marketing Rule – is your program on track?

In our webinar, we looked at ways of practically implementing the new Marketing Rule requirements to meet the expectations of both the SEC and investors. We acted as a checkpoint for your program by talking through where you should be at this stage in the transitional process.

Our Americas Practice Lead, Valerie Ruppel, who has performed marketing reviews as an examiner with the SEC, shared insights on some of the trickier areas including:

  • Compliance best practices and training
  • Performance presentation
  • Testimonials and endorsements.