Investment advisers registered with the U.S. Securities & Exchange Commission who advertise performance must ensure that materials created or distributed by the firm to prospective clients are not deemed to be false or misleading. To avoid this, it is important to have sales materials reviewed prior to dissemination.
Having an independent party like Guardian review your firm’s materials can give you confidence that your marketing materials include proper disclosure that will meet your regulatory obligations and adhere to industry accepted standards and best practices, while also freeing up internal compliance resources for other purposes.
Guardian’s SEC Marketing Rule Compliance Support services include providing periodic reviews of performance advertising materials for adherence to requirements under the SEC Marketing Rule, and industry best practices.