{"id":1226,"date":"2022-02-19T13:09:36","date_gmt":"2022-02-19T13:09:36","guid":{"rendered":"http:\/\/localhost\/?p=1226"},"modified":"2022-02-22T13:18:12","modified_gmt":"2022-02-22T13:18:12","slug":"marketing-rule-compliance-checklist-for-investment-advisers","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2022\/02\/19\/marketing-rule-compliance-checklist-for-investment-advisers\/","title":{"rendered":"Marketing Rule Compliance Checklist for investment advisers"},"content":{"rendered":"<p>To facilitate compliance\u00a0with\u00a0amendments to Rule 206(4)-1 (Marketing Rule) under the Investment Advisers Act of 1940, we developed a Compliance Checklist.\u00a0 The date for compliance\u00a0 is November 4, 2022 \u2013 by which time registered investment advisers must adopt and implement new policies and procedures, and build the operational and supervisory systems necessary for compliance.<\/p>\n<ul>\n<li>The Marketing Rule modernizes the regulatory regime governing investment adviser marketing practices and revises standards that investment advisers have been operating under for decades.<\/li>\n<li>Compliance with the Marketing Rule will require significant changes to investment advisers\u2019 marketing practices, including use of testimonials, endorsements, or third party ratings and investment advisers\u2019 use of performance information.<\/li>\n<li>The Compliance Checklist is intended to serve as a helpful guide for legal and compliance personnel responsible for developing compliant policies, procedures, and systems that account for these sweeping changes.<\/li>\n<\/ul>\n<p>You can access it <a href=\"https:\/\/es-notifications.com\/22\/10709\/february-2022\/marketing-rule-compliance-checklist-for-investment-advisers.asp?sid=e862b746-2278-44ec-8cfe-f38db21cf1a3\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>To facilitate compliance\u00a0with\u00a0amendments to Rule 206(4)-1 (Marketing Rule) under the Investment Advisers Act of 1940, we developed a Compliance Checklist.\u00a0 The date for compliance\u00a0 is November 4, 2022 \u2013 by which time registered investment advisers must adopt and implement new policies and procedures, and build the operational and supervisory systems necessary for compliance. The Marketing &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2022\/02\/19\/marketing-rule-compliance-checklist-for-investment-advisers\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Marketing Rule Compliance Checklist for investment advisers<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,21,22],"tags":[],"class_list":["post-1226","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1226","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1226"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1226\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1226"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1226"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1226"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}