The SEC’s new Marketing Rule requires SEC registered investment advisers to now have new policies and procedures along with updated practices and marketing materials.

Be Prepared Through Our Expert Services

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

  • 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

Our Policies and Procedures are Customized

Written policies and procedures produced by FrontLine Compliance are individually customized for each client. Boiler plate, off-the-shelf policies will leave your firm out of compliance with the revised Marketing Rule. We will ensure our written policies for your firm include all components of the Marketing Rule, such as:

  • Use of testimonials and endorsements
  • Performance advertising
  • Use of past specific recommendations
  • Predecessor and related performance
  • Use of social media
  • Prohibitions and exemptions under the new Rule

Our Client Deliverables

Every client written deliverable produced by FrontLine Compliance is thoroughly reviewed for accuracy of findings and correct use of regulatory language. No deliverable is submitted until approved by FrontLine Compliance’s senior management and it has been discussed thoroughly with the firm.

Marketing and Advertising Rulemaking

For more background, see these related ComplianceAlerts:

Your Client Experience

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

  • Frequent and proactive 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