When the SEC comes knocking for a Marketing Rule exam, there will be a host of marketing-related materials and data that the regulator will be requesting. Amy Lynch, FrontLine’s Founder and President, is profiled in a recent ThinkAdvisor article where these items are detailed in length. She describes the various types of documents and information the SEC is most interested in seeing during an exam as they pertain to the Rule. In June, the SEC issued a Risk Alert that included additional Marketing Rule areas it would focus on during an investment adviser exam.
See ThinkAdvisor, “8 Marketing Rule Documents the SEC Requests During Exams”
Also see our ComplianceAlert, “SEC Pursues its Regulatory Agenda”
