{"id":1385,"date":"2024-05-02T08:09:00","date_gmt":"2024-05-02T08:09:00","guid":{"rendered":"http:\/\/localhost\/?p=1385"},"modified":"2024-05-03T16:51:57","modified_gmt":"2024-05-03T16:51:57","slug":"whats-the-marketing-piece-that-creates-the-most-compliance-risk-for-rias","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2024\/05\/02\/whats-the-marketing-piece-that-creates-the-most-compliance-risk-for-rias\/","title":{"rendered":"What\u2019s the marketing piece that creates the most compliance risk for RIAs?"},"content":{"rendered":"<p>In my opinion, it\u2019s the website.<\/p>\n<p>With the SEC\u2019s scrutiny of Marketing Rule compliance, I believe the SEC is closely scrutinizing Forms ADV filed by RIAs, and to the extent that RIAs indicate they are referencing testimonials, endorsements, third-party ratings, predecessor performance, hypothetical performance, or specific investment recommendations in their marketing materials, this gives the SEC an impetus to review the adviser\u2019s marketing materials.<\/p>\n<p>The marketing piece most easily accessible to the SEC is the RIA\u2019s website, the address to which is also listed on the Form ADV.<\/p>\n<p>Read more <a href=\"https:\/\/www.linkedin.com\/feed\/update\/urn:li:activity:7191437641668542464?updateEntityUrn=urn%3Ali%3Afs_feedUpdate%3A%28V2%2Curn%3Ali%3Aactivity%3A7191437641668542464%29\">here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>In my opinion, it\u2019s the website. With the SEC\u2019s scrutiny of Marketing Rule compliance, I believe the SEC is closely scrutinizing Forms ADV filed by RIAs, and to the extent that RIAs indicate they are referencing testimonials, endorsements, third-party ratings, predecessor performance, hypothetical performance, or specific investment recommendations in their marketing materials, this gives the &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2024\/05\/02\/whats-the-marketing-piece-that-creates-the-most-compliance-risk-for-rias\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">What\u2019s the marketing piece that creates the most compliance risk for RIAs?<\/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":[23,24,21],"tags":[],"class_list":["post-1385","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-regulatory"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1385","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\/95"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1385"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1385\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1385"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1385"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1385"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}