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Understanding the Legal Framework of MDF Programs The legal landscape governing MDF and Co-Op programs is underpinned by two primary regulatory frameworks: the Robinson-Patman Act and the Sarbanes-Oxley Act (SOX). Learn all about it on our blog post! #incentivesautomation #MDF #Co-Op
The legal landscape governing MDF and Co-Op programs is underpinned by two primary regulatory frameworks: the Robinson-Patman Act and the Sarbanes-Oxley Act (SOX). Learn all about it on our blog post!
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Love this article because it clearly articulates the legal considerations for Co-Op and MDF programs that at times, can be overlooked during the initial program planning phase or existing program transformation. Also very relevant as companies segment partners and need to ensure their programs are still proportionally equal based on objective criteria (that may have been easier to denote based on traditional performance tiers).
The legal landscape governing MDF and Co-Op programs is underpinned by two primary regulatory frameworks: the Robinson-Patman Act and the Sarbanes-Oxley Act (SOX). Learn all about it on our blog post!
🚨Big News! Our Marketing Material Review Tool (MMR-Tool) now includes comprehensive US regulatory coverage, including #FINRA and #SEC rules! As Scott Parkin explains "The SEC's regulations are notoriously intricate and often open to interpretation... the MMR-Tool offers unparalleled accuracy and speed in aiding with compliance." With global coverage of over 30 laws, circulars, and official publications, MMR-Tool generates lawyer-like reviews of marketing materials in under ten minutes. Ready to transform your compliance process? Discover how our MMR-Tool can make it happen: https://bit.ly/3LMCYtS Arne Zeidler #LegalTech #RegTech #RegulatoryCompliance #GenAI
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Learn about the many facets of UDAAP to ensure your marketing is compliant. Register for “UDAAP + Deceptive Advertising: The Cost of Misleading Marketing Materials” tomorrow, June 18th at 1:00 PM ET. https://lnkd.in/eAe7DdFV #UDAAP #Webinar #MarketingCompliance
#BusinessLawToday | Analyzing the Risk Alert yields guidance for SEC-registered advisers on questions they may face in future examinations related to Marketing Rule compliance. Read: https://ow.ly/ruVi50Sb5sj Karen Z. Liu , Reid & Wise LLC #BusinessLaw #SecuritiesLaw
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This is an interesting outcome for RIAs based on yesterday's settlement for the (206(4)-1)" Marketing Rule." It's likely the term "conflict-free advice" will never be used again. Another area for the compliance team to deal with. #RIA #compliance #GRC https://lnkd.in/gYhEaWV8
With our fully automated MMR-Tool, you can easily upload your marketing materials for a thorough review against global rules and regulations, as well as other fund documents to ensure consistency. Save time and boost compliance in your marketing materials with our cutting-edge MMR-Tool. Contact us today to learn more: https://bit.ly/3XrrWRS #investmentmanagement #regulatorycompliance #RegTech #LegalTech #compliance #funds
The SEC recently issued a risk alert regarding marketing rule compliance for investment advisers, highlighting the staff’s findings following the implementation of the new Marketing Rule in November 2022. Valerie Ruppel discusses why this presents an opportune moment to review your practices and how you can use the regulator’s guidance as a roadmap in your annual review. #riskalert #marketingrule #financialcompliance #bovill
Financial services can be complex, so clear and truthful marketing material is crucial for one to make an informed decision. In 2023, the MFSA reviewed over 350 social media adverts and 35 websites of financial entities that we regulate. While most entities complied with regulations, some concerning trends emerged. These included: 👉 Missing Risk Disclosures 👉 Unclear Product Features 👉 Increased Use of Incentives such as Gifts or Prizes 𝐒𝐭𝐚𝐲 𝐈𝐧𝐟𝐨𝐫𝐦𝐞𝐝: Check out our latest report - https://lnkd.in/duPF_m-x. #FinancialSafety #ConsumerProtection #Transparency #MFSA #FinancialMarketing #FinancialRegulation
Five additional firms have faced fines for violating SEC Marketing Rules. Please take a moment to review your firm's website for any references to hypothetical performance and consider removing them. Cascade Compliance specializes in assisting companies with enhancing their internal documentation to ensure that their external communications around performance are accurately represented and compliant with regulations. Please let us know if we can help. https://lnkd.in/gKq9n_ai
Agreed Claudio, the effective utilization of MDF requires a strategic blend of legal compliance and marketing innovation. By establishing clear, measurable criteria for fund allocation, providing partners with prescriptive marketing guidelines, and leveraging third-party platforms for program management, companies can optimize their MDF initiatives while navigating the legal complexities inherent to promotional allowance programs.