Yet again, recent headlines bring Marketing Rule compliance to the forefront of conversation. The new SEC Marketing Rule gives firms opportunities to engage in advertising and promotion. However, since final adoption, financial services firms have been the subject of numerous enforcement actions – proving that adhering to the new advertising requirements may not be as straightforward as originally thought.
What’s a firm to do?
It could be as easy as reimagining how you currently implement your trusted compliance technology.
Download this guide for insights into commonly cited Marketing Rule deficiencies and how you can use existing workflows and processes within compliance technologies – like COMPLY’s – to refresh your marketing review processes.
