The Amended Marketing Rule and Confident Compliance

Rule 206(4)-1, also known as the "Amended Marketing Rule," governs the marketing and advertising activities of investment advisers and regulates the use of performance data and other information in advertisements and promotional materials. The Amended Marketing Rule imposes strict requirements on private fund managers regarding the use of performance data and other information in their marketing and advertising materials. This includes requiring that all performance data and other information be presented in a manner that is fair, balanced and not misleading.

Private fund managers must also ensure that they have a reasonable basis for any claims made in their marketing and advertising materials, and must be able to provide supporting documentation if requested by the SEC.

Private fund managers must be very careful in how they present performance data and other information in their marketing and advertising materials. They must also have robust internal controls and compliance programs in place to ensure that their marketing and advertising activities are in compliance with the Amended Marketing Rule. Private fund managers who fail to comply with the rule can be subject to enforcement action by the SEC, which can result in significant financial penalties, as well as reputational damage.

As we designed @One-Compliance, we strived to be the only compliance tool that allows for seamless communication between the compliance team and other functions. Our solution is designed to give you, as a chief compliance officer, and your team superior visibility into regulatory changes and their implication.

@One-Compliance allows you to quickly and easily communicate with marketing, legal, operations, investor relations and others – to provide visibility to those who need it and are working on it. We also deliver a secure record of approval for any material that is sent out to investors. The entire chain of communications, edits and approvals is clearly visible and well-tracked. We all know that these materials often require discussion, clarification and clear documentation to support the information being shared. One-Compliance can help you confidently report your adherence to the rule to the SEC as required.

Our comprehensive compliance suite allows you to keep up with the latest rules and regulations and always be sure you are in compliance with applicable regulations, including the Amended Marketing Rule.