{"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":"

In my opinion, it\u2019s the website.<\/p>\n

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

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

Read more here<\/a>.<\/p>\n","protected":false},"excerpt":{"rendered":"

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 … Continue reading What\u2019s the marketing piece that creates the most compliance risk for RIAs?<\/span> →<\/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":[],"aioseo_head":"\n\t\t\n\t\n\t\n\t\n\t\n\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t\n\t\t