For years, investment advisers have had their hands tied when it comes to promoting their success through the use of client testimonials. Such marketing efforts, such as positive client endorsements on LinkedIn, have long been prohibited from promotion. Now, with … Read More
Managing Partner Michelle Jacko will be speaking on the “SEC’s New IA Ad Rule,” for Regulatory Compliance Watch’s Webinar on March 22, 2022. Join the webinar to ensure you and your firm are prepared for the November compliance deadline for … Read More
Investment Advisory firms that are eagerly awaiting the revisions recently adopted by the U.S. Securities and Exchange Commission (SEC) to the archaic Advisers Act Advertising Rule previously anticipated to become effective this spring, will have to wait a bit longer. The Advertising Rule prepared and approved under the former Trump Administration is now required to undergo review by the newly installed Biden Administration.