Topic
The SEC’s September 2026 Risk Alert sets out issues examiners observed regarding adviser annual compliance reviews, including how advisers documented them.
Employee advocacy is sold to marketing as amplification. The scripted origin that triggers the regulatory obligations is the same design that delivers the reach, so the reach and the exposure come together.
The fourth Marketing Rule Risk Alert covers whether disclosure is present and prominent, and whether the firm can show why it believed the content complied.
FINRA proposes to replace mandatory pre-use approval under Rule 2210 with firm-run, risk-based review of retail communications. How to prepare.
Content production soared while compliance stayed manual. Nobody had built the infrastructure between the two — so we did.