A Breakdown of the SEC’s Amended Promoter Rule
This month’s Risk Management Tip will focus on the new requirements for Promotors including its applicability to investment advisers and advisers to private funds. … Read More
Regulatory Compliance Watch: SEC’s New IA Ad Rule
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
Preparing for the New Marketing Rule: Understanding Advertising and Solicitor Requirements
Jacko Law Group, in conjunction with Core Compliance, hosted a Client Exclusive Webinar, "Preparing for the New Marketing Rule: Understanding Advertising and Solicitor Requirements," on September 15th, 2021.… Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules, and What Then? (Part 2)
Michelle Jacko wrote the article Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules, and What Then? (Part 2) for Jacko Law Group in March 2021.… Read More
Social Media in 2021 – Are Advisers Subject to the Old Rules or New Rules, and What Then? (Part 1)
How investment advisers use social media for marketing advisory services has rapidly evolved over the last 25 years. What used to be heavily debated – to use social media or not – is now commonplace. For some, social networking and … Read More
New Advisers Act Advertising Rule to Undergo Further Review
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.
Your First Meeting on the SEC’s New Investment Adviser Marketing Rule Should Address These Topics
The U.S. Securities Exchange Commission’s has issued its new modernized Advertising Rule that is intended to replace the existing Advertising and Cash Solicitation Rules. The SEC release relating to the new Advertising Rule is a 430 page behemoth that will create a significant change to the manner in which advisers conduct their advertising and marketing activities.
The SEC’s New IA Advertising Rule: A Complete Look, from Testimonials to Compliance Oversight
Michelle L. Jacko will present on The SEC’s New IA Advertising Rule: A Complete Look, from Testimonials to Compliance Oversight at a Regulatory Compliance Watch Webinar on February 2, 2021.… Read More
An Important Lesson About Marketing Materials and Risk
One of the hallmarks of a fiduciary is following through on the service you promise to deliver, acting in the best interests of your client, and providing factual information.
Inside the SEC’s Proposed New Rules for Financial Advisor Advertising
Advisory firms are encountering more competition than ever when it comes to building their client base. Many firms would make an additional spend on marketing and advertising strategies (including use of solicitors and social media to attract younger clients) but often are concerned about SEC regulatory scrutiny and limitations imposed on registrants.