The SEC’s new Marketing and Advertising Rule has been finalized with a Compliance Date of November 4, 2022. SEC registered investment advisers must have new policies and procedures along with updated practices and marketing materials no later than the Compliance Date.

FrontLine’s Marketing and Advertising review services prepare firms to meet the new Rule requirements. Our advertising regulatory experts will ensure you meet all the requirements, plus are fully prepared for SEC targeted sweeps and exams upon the Compliance Date.

  • Strategic review and assessment of current firm practices and marketing materials
  • Conflict of interest review of solicitation practices
  • Evaluation of marketing and solicitation goals utilizing a GAP analysis
  • Review and update written policies and procedures
  • Remote or on-site training for firm staff involved in the marketing and solicitation of clients/investors
  • Form ADV updates, when applicable

For more background, see these related ComplianceAlerts:

With each of our services, experience the high level satisfaction that our clients enjoy.

  • Frequent collaboration with our clients through scheduled conference calls and video meetings
  • Ongoing access to our top executives with 24-hour response time for timely advising and Q&A
  • Roster of seasoned compliance experts comprised of former SEC regulators and CCOs, each with 15+ years’ experience

Here’s just some of what distinguishes us:

  • Unmatched track record of client SEC Exams resulting in no material findings
  • Versatile programs and projects with seamless adjustments to services
  • Cost efficiencies and significant reductions in legal expenses
  • Client renewal rate that exceeds 90 percent

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