SEC’s marketing rule is a heavy lift for compliance (ThinkAdvisor)
FrontLine Compliance
How investment advisers approach compliance for the new Marketing Rule will help set the stage for what actions the SEC may or may not take against firms. In lead comments, Amy Lynch, FrontLine’s Founder and President, states that firms need to understand there is more to compliance with the rule than updating firm marketing and advertising policies. Ms. Lynch explains that for advisers just now starting the compliance process, it can be a heavy lift…
