Compliant Marketing: How to Avoid SEC Fines

Compliance | Sep 11, 2024 Fintech Insights for Navigating the SEC Marketing Rule The Marketing Rule was created in December 2020 and now the Securities and Exchange Commission (SEC) is ramping up enforcement. The SEC just fined nine investment advisors a total of $1.24 million for using deceptive advertising and omitting key disclosures when relying

The post Compliant Marketing: How to Avoid SEC Fines first appeared on National Crowdfunding & Fintech Association of Canada.