Lacey Miller

Lacey Miller

Countdown to Implementation

5 points to consider when implementing a new software

Have you selected a new SaaS solution for your compliance team? After all the conversations and reviews and vetting, you’ve signed the deal and are ready to put that new ad review software into action. There’s one big question left…

Modernized Marketing Rule for Investment Advisers

the SEC modernized its marketing rules around client testimonials

On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers. These rules were developed under the Investment Advisers Act of 1940 and have not been significantly revised since the 1980s. The world of marketing and…

Why You Need a Centralized Review Process

why you need a centralized advertising review process

When you’re the compliance portion of the advertising review process, you’re expected to move fast. Once a piece makes it to your desk, it’s not uncommon to notice your marketing counterpart lurking around outside your office, just waiting “in case…