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Recent Marketing Rule Enforcement

Thayne Gould Reacts

contributed by Vigilant Compliance, a Full-Services Outsourced Compliance Services Firm
October 19, 2023 • less than 1 minute read

The SEC recently announced charges against nine (9) firms related to the use of hypothetical performance.

These charges emphasize the SEC’s focus on marketing rule compliance, and how hypothetical performance is expected to bring scrutiny from examiners.

Vigilant Director, Thayne Gould, was quoted in a wealthmanagement.com article discussing his reaction towards the recent SEC charges.

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