Are you an investment advisor affected by the new Securities and Exchange Commission marketing rules? Firms will need to ensure they are compliant with the new Marketing Rule by making updates to their marketing materials, contracts and policies and procedures. At Cleveland & Co, we’ve been preparing to assist our clients with these changes and have set out the key takeaways as well as how we can assist firms with compliance, in a handy one-page guide below.
Please click here to access our handy one-page guide to the rules.
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