SEC Marketing Rule Keeping Compliance Professionals Awake At Night

Law360 (September 7, 2021, 8:58 p.m. EDT) – Implementation of so-called U.S. Securities and Exchange Commission marketing rule is top concern for investment advisor compliance officers, new survey finds with compliance professionals representing 350 investment advisers.

The December Rule, part of an SEC overhaul to deal with the changing marketing and advertising of the digital age, was one of many priority topics for compliance professionals who matched Other recent SEC initiatives, the 2021 Investment Adviser Compliance Testing Survey released on Friday shows. The survey was conducted by the Investment Adviser Association, the ACA Group and Yuter Compliance Consulting.

The rule – which applies …

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