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Navigating Regulations & Compliance as a Wealth Management Firm

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Issues arising from SEC Regulations & Compliance can be difficult for firms at any size. Learn about mitigating risk by understanding how SEC's Reg BI and Marketing Rules affect you and your firm.

What is Reg BI?

Effective as of June 30, 2020, Reg BI reinforces the broker-dealer's obligation to act in the best interest (BI) of a retail customer at the time the recommendation is made.

  • There are four specific components to adhere to: Disclosure Obligation, Care Obligation, Conflict of Interest Obligation, and Compliance Obligation.
  • There is an increased focus on the importance of record-making and record-keeping
Learn more about these components, other implications of Reg BI, and why advisors should care about this rule by clicking below. 

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What is the SEC Marketing Rule?

Rule 206(4)-1 under the Investment Advisers Act of 1940, also know as the Marketing Rule, contains the principles-based general prohibitions that apply to an RIA's advertisements. Its purpose is to protect investors by way of regulating marketing practices, which helps reduce instances of market manipulation.

When it comes to day-to-day tasks for advisors, a consideration for this rule has to be taken into account when presenting recommendations to a client or prospect (i.e. presenting performance figures, including certain disclosures, and maintaining records of any and all presentations). It's important to familiarize with where the Rule applies to your daily tasks so you (or your firm) can embed compliance practices proactively. 

Learn more about SEC Marketing Rule


5 ways to incorporate strong compliance practices

Compliance is not a nice to have — it's a need to have. Don't let it be an afterthought by integrating it within your workflow.

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*This resource is not legal advice. It is intended to provide a brief overview of Reg BI and other SEC rules and regulations to help you stay compliant with SEC requirements. It is highly recommended you research and review these regulations further to gain a more in-depth understanding of how it applies to your practice. The SEC offers a great list of resources here.