Compliant Advertising: The Marketing Rule & "Finfluencers"

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Presented by

Tiffany Magri, Regulatory Compliance Officer, Smarsh, Annie Kong, Managing Director, IQ-EQ, & Elin Cherry, Founder, Elinphant

About this talk

An SEC email campaign is going viral and creating a buzz among RIAs – changes to the marketing rule are coming and they cannot be ignored. The increased use of digital channels for customer acquisition, including social media and web platforms, is redefining what constitutes an advertisement. Investment management firms looking to drive new client growth with testimonials, endorsements, third-party ratings, and influencers should not miss our webinar, Compliant Advertising: The Marketing Rule & “Finfluencers.” Our compliance experts will discuss the new requirements and what you can do now to make updates to your advertising strategy and be ready for the SEC. During this webinar, our experts will do a deep dive into: · Definitions and Prohibitions: The 7 prohibited advertising practices and new definitions for advertisements · Recommendations: How endorsements, testimonials and third-party ratings have to be reevaluated, along with policy updates · Snackable Content: The regulatory response to the explosion of social media and finfluencer content that risk misleading young investors · Sweeps: Who is most at risk for an SEC sweep examination

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For more than two decades, Smarsh has provided its clients with industry-leading technology that allows them to manage the risk and see the value in their communications data. Our capture, archiving, supervision and e-discovery solutions enable our customers to focus on innovation and growth, while seamlessly dealing with communications compliance.