Published on Aug 9th, 2022 |

At this year’s 2022 PMAR Conference hosted by The Spaulding Group, Vigilant’s Chief Operating Officer, Chuck Martin, and K&L Gates Of Council, Pamela Grossetti, presented on the SEC Marketing Rule that will become effective on November 4th, 2022.

View the Presentation Here

Vigilant’s Conclusion

It is clear that Performance, Testimonials, and Endorsements are very critical components of the new Marketing Rule.

For many Advisers, the Marketing Rule is one of the top Compliance Priorities in 2022, with a Compliance date of November 4th, 2022. Through SEC Interviews and Industry discussion, it is not expected that the SEC will be providing further guidance on the new Marketing Rule in the short term. It is important for those looking to comply with the new Marketing Rule to keep current with Industry guidance, similar to the Presentations Vigilant has given.

For Advisers in need of assistance with implementing the SEC Marketing Rule, Vigilant offers Marketing Rule Review Services, designed to get your firm compliant in advance of November 4th.

Additionally, should you not have the resources in place to keep up with the volume of Advertising Material generated for compliance review, Vigilant has solutions to supplement your Advertising Review team.

Are you prepared for these changes that are on the horizon?

Contact Us Here For Assistance