{"id":1313,"date":"2022-10-24T16:20:21","date_gmt":"2022-10-24T16:20:21","guid":{"rendered":"http:\/\/localhost\/?p=1313"},"modified":"2022-10-26T21:24:51","modified_gmt":"2022-10-26T21:24:51","slug":"marketing-rule-and-promoter-agreements-what-advisers-should-consider","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2022\/10\/24\/marketing-rule-and-promoter-agreements-what-advisers-should-consider\/","title":{"rendered":"Marketing Rule and &#8220;Promoter&#8221; Agreements &#8212; What Advisers Should Consider"},"content":{"rendered":"<p>Advisers paying third parties for client referrals (\u201cpromoters\u201d) must determine whether they will need agreements with such promoters in order to comply with the new Marketing Rule and to ensure that any such agreements allow them to ensure compliance with the Marketing Rule\u2019s disclosure, oversight and disqualification provisions pertaining to the use of paid testimonials and endorsements.<\/p>\n<p>Among other things, advisers will want to consider the following with respect to agreements with promoters:<\/p>\n<ul>\n<li>Restrictions on the materials the promoter may use to promote the adviser\u2019s services<\/li>\n<li>Processes for pre-approval of any materials to be used by the promote to promote the adviser\u2019s services<\/li>\n<li>The Imposition of disclosure requirements for any marketing materials to be used by the promoter to ensure compliance with the Marketing Rule<\/li>\n<li>The right of the adviser to conduct ongoing due diligence on the promoter\u2019s compliance with the Marketing Rule including the right to inspect books and records<\/li>\n<li>Inclusion of representations and warranties to be made by the promoter to ensure that it and its personnel are not disqualified from referring clients to the adviser<\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>Advisers paying third parties for client referrals (\u201cpromoters\u201d) must determine whether they will need agreements with such promoters in order to comply with the new Marketing Rule and to ensure that any such agreements allow them to ensure compliance with the Marketing Rule\u2019s disclosure, oversight and disqualification provisions pertaining to the use of paid testimonials &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2022\/10\/24\/marketing-rule-and-promoter-agreements-what-advisers-should-consider\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Marketing Rule and &#8220;Promoter&#8221; Agreements &#8212; What Advisers Should Consider<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":95,"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-1313","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"aioseo_head":"\n\t\t<!-- All in One SEO 4.9.9 - aioseo.com -->\n\t<meta name=\"description\" content=\"Advisers paying third parties for client referrals (\u201cpromoters\u201d) must determine whether they will need agreements with such promoters in order to comply with the new Marketing Rule and to ensure that any such agreements allow them to ensure compliance with the Marketing Rule\u2019s disclosure, oversight and 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