FrontLine’s alert on email warning from SEC featured (ThinkAdvisor)
FrontLine Compliance
When the SEC launched a mass email campaign recently to all SEC registered investment advisers on its new Marketing Rule, FrontLine Compliance was among the first to notify the industry of its significance via our ComplianceAlert and Video. This first-of-its-kind email from the SEC warns firms to heed the November 4th Compliance Date for the new Rule, which “…will require SEC registered investment advisers’ policies and procedures to be updated and revised, as appropriate,…
