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Vigilant Compliance, LLC
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Guidance on the New SEC Marketing Rule 

On December 22, 2020, the SEC adopted a Modernized Marketing Rule for Investment Advisers. This new rule was a much anticipated update, as it will bring current marketing requirements of the Adviser’s Act into the 21st century. This updates the current rule to meet the technological changes that have occurred since the Adviser’s Act was first adopted.

To learn more about the specifics of the Marketing Rule and Vigilant's initial takeaways click HERE.
 
Since the SEC Released its New Marketing Rule, many RIAs have a lot of questions regarding it. The thought leaders at Vigilant created a simple two page summary guide to breakdown the new Rule for YOU.

Click HERE to download Vigilant's Guide on the New Marketing Rule. 

Below are key takeaways from Vigilant's Guidance regarding the Marketing Rule:
  • Advertising practices the Marketing Rule prohibits
  • What the Marketing Rule prohibits in the use of testimonials and endorsements in an advertisement
  • What Investment Advisers will have to disclose for Third-Party Ratings
  • All prohibitions towards performance advertising
  • Amendments to the Book and Records Rule and Form ADV
Miss out on Vigilant's COO, Chuck Martin's insights towards the new Marketing Rule?


 
Click HERE to see his full breakdown on Ignites.
Who we are:

Vigilant is a full-service Compliance Firm servicing the regulatory needs of a diversified range of investment management clients.

Since 2004, Vigilant has been the leader among regulatory compliance consulting firms; uniting regulatory compliance, legal, financial expertise and now paving the way to the Market for our clients.

To learn more about who we are, click here!

The Vigilant Team is always happy to schedule a time to chat, feel free to contact us with any questions!
 

The Team at Vigilant

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About Us

 
Vigilant Compliance, LLC is a full service Global Compliance Firm servicing the regulatory needs of investment management clients.
 
Salvatore Faia 
JD, CPA, CFE
President
1-888-229-1855
sfaia@vigilantLLC.com
TOLL-FREE 1-888-229-1855    INTERNATIONAL 011-44-207-183-2028
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