Regulatory Wrap Episode 50: 2024 Wrapped – the Top Compliance Stories
In Regulatory Wrap for the week to December 13, Jennie Clarke and Rob Mason recount the most notable developments over the course of 2024.
Regulatory Wrap Episode #49: Global Relay’s 2024 Data Insights Report
In Regulatory Wrap for the week to December 6, Jennie Clarke examines the findings of Global Relay’s newly published 2024 Data Insights report.
The SEC Marketing Rule: a short guide
The SEC’s Marketing Rule is a recent addition to the rulebook, and provides guidance on how investment advisory firms can advertise their services. Marketing rule compliance applies to all marketing material produced and promoted by financial firms, from websites to social media.
Regulatory Wrap Episode 40: The SEC Fines 9 Firms $1.24M
In Regulatory Wrap for the week to September 13, Jay Hampshire reviews a recent SEC enforcement for misleading marketing.
Nine firms fined $1.24 million for not playing by SEC’s Marketing Rule
With a $1.24 million penalty representing the largest fine so far as part of the SEC’s ongoing Marketing Rule crackdown, are firms doing enough to ensure their marketing communications are compliant?
The clock is TikToking, will firms get the message on off-channel comms?
Firms must look to implement technology to mitigate against risks presented by the proliferation of social media use in a business context. As platforms such as TikTok begin to dominate the media landscape, firms must look to revaluate their compliance infrastructures.
Nowhere to hide – FCA reviews state of crypto promotions
The FCA has published a review of whether cryptocurrency firms are meeting its latest rules around marketing and promotions - with many falling short of the required compliance standard.
Bad finfluence – Is influencer marketing worth the risks?
With the FCA having announced court dates for a case against nine social media influencers involved in non-compliant financial promotions, do the benefits outweigh the risks for ‘finfluencer’ marketing?
Social surveillance: The importance of comms capture for social media compliance
In addition to capturing communications channels like email, IM, and SMS, compliance teams must realize the importance of capturing data from social media platforms. To effectively manage widely used applications, firms should consider social surveillance and strategies to curb risks.
The SEC sweeps, the SEC scores – five further firms fined under Marketing Rule
The SEC has fined five registered investment advisers for hypothetical performance advertising, hindering their consumers’ ability to make an informed judgment around financial decisions. Now, the regulator is spelling the dos and don’ts of the Marketing Rule.
Regulatory Wrap Episode 27: SEC Crackdown on Marketing Rule Violations
In Regulatory Wrap for the week to April 19, Aarti Agarwal unpicks the SEC’s charges against five investment adviser firms for violating the Marketing Rule.