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Latest News
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SEC announces enforcement results for fiscal year 2024
The SEC announced that it collected $8.2 billion in monetary penalties for FY 2024, the highest amount for the fines in the regulator’s history.
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Global Relay data report highlights adoption of AI by firms
AI query data as well as popular communications channels such as WhatsApp increasingly monitored by firms.
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Firm cited for Marketing Rule violations after using athlete endorsements
Investment adviser failed to mention endorsements from high-profile sports stars were paid for.
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SEC’s Marketing Rule sweep hits nine IA firms with $1.2m in fines
The sweep sent a warning to IA firms about the importance of accuracy in advertising industry awards and touting conflict free advice.
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Crossing borders – top tips for navigating UK and US compliance
How to comply with compliance rules on both sides of the Atlantic without being penalised.
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Off-channel communication now top compliance concern, says IAA survey
Marketing comes in second place, with artificial intelligence appearing for the first time to complete top three.
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Podcast: David Berman and Emily Lemaire of Covington on greenwashing and bluewashing
We spoke to David Berman and Emily Lemaire about greenwashing your products, your services and your firm. Tips and best practices.
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SEC issues risk alert on Marketing Rule compliance
The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.