B2i Digital to expand investor reach for issuers presenting at NIBA’s long-running capital markets forum At B2i ...
The federal regulator's latest notes give compliance teams breathing room on endorsements, while emphasizing its view on the use of actual vs. model fees when presenting portfolio performance.
On September 11, 2023, the Securities and Exchange Commission (SEC) charged and settled proceedings with nine registered investment advisers for misrepresenting hypothetical performance of advisory ...
The Securities and Exchange Commission (SEC) is intensifying its scrutiny of registered investment advisors (RIAs) for violations of the Marketing Rule 206(4)-1 under the Investment Advisers Act, ...
The biggest risk in marketing today isn't overspending, it's abandoning differentiation before it ever has time to work.
Among the seven general prohibitions set forth in Rule 206(4)-1(a) of the Marketing Rule are the prohibitions on including an untrue statement of material fact in an advertisement and including ...
There are many promises about AI. As a pitch consultant, I hear them from agencies, tech vendors, platforms, and others. But for marketers, how can you be sure it will actually deliver once you've ...
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