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We provide compliance support services to investment advisers,
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We are your compliance partner, not just a consultant. We provide comprehensive ongoing compliance administration.
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Frank Watson
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Ellen Harvin
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John Marriott
Executive Vice President
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The New Marketing Rule Part 5 – Challenges for Performance Advertising
The New Marketing Rule Part 5 - Challenges for Performance Advertising What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising and [...]
SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG
SEC’s ESG Taskforce Fines Investment Adviser $1.5 Million for Misstatements Concerning ESG What happened? On May 23rd, the Securities and Exchange Commission (SEC) charged BNY Mellon Investment Adviser, Inc. for [...]
The New Marketing Rule Part 4 – Implications for Social Media
The New Marketing Rule Part 4 - Implications for Social Media What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising and [...]
The New Marketing Rule Part 3 – General Prohibitions
The New Marketing Rule Part 3 - General Prohibitions What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the advertising and cash solicitation [...]
What are Testimonials and Endorsements?
The New Marketing Rule Part 2 - What are Testimonials and Endorsements? What happened? On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) passed amendments to the [...]
Risk Alert on MNPI
Risk Alert on MNPI What happened? Restrictions on the use of material non-public information (“MNPI”) are one of the cornerstones of the SEC’s regulatory framework. The Division of Examinations (“EXAMS”) [...]