Are you ready for the new SEC marketing rule?

Q&A with the Bovill Newgate Americas team

The new US marketing rule, applying to advisers who are required to be registered with the SEC (excluding Exempt Reporting Advisers); is due to come into effect from November 4, aiming to “comprehensively and efficiently regulate investment advisers’ marketing communications”

The rule sets out refreshed expectations on areas including:

• Prohibited activities
• Presentation of performance data
• Use of testimonials, endorsements and third parties

We were joined by our Americas Practice Lead, Valerie Ruppel who shared insight from the team and answered attendees most pressing questions, based on her hands-on experience dealing with the regulator and supporting firms in preparing to implement new working practices and behaviours to adapt.