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Are You Ready to Comply with the New SEC Marketing Rule?

Date: August 25, 2022
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With the upcoming deadline of the 4th November, 2022, the new SEC Marketing Rule requires firms to create composites around similarly managed portfolios for performance reference, even if they are not GIPS® (Global Investment Performance Standards) Standards compliant.

This means that firms must establish policies, procedures and controls, ensuring that all portfolios in compliance and are marketed accordingly.

Disclaimer: The information contained in this communication is for informational purposes only. Confluence/StatPro is not providing, legal, financial, accounting, compliance or other similar services or advice through this communication. Recipients of this communication are responsible for understanding the regulatory and legal requirements applicable to their business.

To learn more about 13f-2 watch our webinar replay Part 1: Unpacking the SEC's New Disclosure Rules for Shareholders
Join us for Part 2: Operationalizing the SEC's New Disclosure Rules, for Shareholders on December 12.