The SEC’s marketing rule is causing performance, legal and compliance teams to coalesce and collaborate in new ways, says Sanjay Lamba, associate general counsel at the Investment Advisor Association (IAA) in the latest FTF Exchange podcast series edition.
For this series episode, Lamba speaks with Maureen Lowe, president and founder of Financial Technologies Forum (FTF) and Nick Holland, director of content and event strategy, FTF & FTF News. They discuss the SEC’s marketing rule, which aims to modernize and standardize advertising practices for investment advisors.
“With the SEC’s marketing rule, performance measurement teams now need close collaboration with legal and compliance to ensure accuracy and compliance,” Lamba says.
He shares insights into marketing rule compliance challenges and the need for firms to adapt to evolving regulations around digital communications and artificial intelligence (A.I.) use in marketing. The conversation also touches on collaborative practices between compliance and performance teams to meet the SEC's requirements.
Key Discussion Points:
• An overview and compliance challenges of the SEC marketing rule;
• The role of A.I. in marketing and compliance concerns; and
• The importance of industry events for knowledge sharing regarding SEC regulations
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EPISODE NOTES:
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