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AI, Advertising, and Advisory: Navigating the SEC Marketing Rule Minefield
In this episode, Maureen Lowe and Nick Holland of the FTF Exchange podcast chat with Sanjay Lamba, Associate General Counsel at the Investment Advisor Association (IAA). They discuss the SEC’s marketing rule, which aims to modernize and standardize advertising practices for investment advisors. Sanjay shares insights into compliance challenges and the need for firms to adapt to evolving regulations around digital communications and AI use in marketing. The conversation also touches on collaborative practices between compliance and performance teams to meet the SEC's requirements. Key…
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