NSCP Currents: Marketing Rule Charges for Testimonials and Endorsements, Third-party Ratings, and Substantiation

December 4, 2024

In this National Society of Compliance Professionals article on the Marketing Rule, Jeremy McCamic, Director of Policy Management and Relationship Manager at Fairview, provides a detailed overview of recent Marketing Rule charges and what investment advisers should do to strengthen their compliance programs to avoid enforcement actions.

11.27.2024 Marketing Rule Charges for Testimonials_nscp