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Mid-year regulatory sync

Are you keeping pace with the regulators?


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Join us for a live webinar that delves into the critical updates introduced by the Securities and Exchange Commission (SEC) in their recent risk alert. This comprehensive risk alert outlines the additional areas of emphasis during examinations, specifically focused on the amended Marketing Rule.

Our expert presenters will shed light on common mistakes made by financial advisors and provide invaluable insights on how to navigate the regulatory landscape effectively – We’ll cover marketing, digital advice and proposed new rules!

By attending, you will gain a deeper understanding of the regulatory environment, equipping you with the knowledge necessary to stay compliant and avoid potential pitfalls.

Key Takeaways:

  • A comprehensive overview of the SEC Risk Alert about the Marketing Rule and its significance for financial advisors.
  • In-depth analysis of areas of emphasis during examinations including digital advice.
  • Practical strategies to enhance compliance and mitigate regulatory risks as you consider your compliance plan for the second ½ of 2023.
  • Q&A session with our experienced panel of industry experts.

Don't miss this opportunity to gain valuable insights and learn from the mistakes of others. Together, let's navigate the intricacies of compliance and pave the way for a successful future in the financial advisory industry.

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