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 Discussion Points:

• The SEC Marketing Rule Overview and Compliance Challenges
• The Role of AI in Marketing and Compliance Concerns
• The Importance of Industry Events for Knowledge Sharing Regarding SEC Regulations

Master SEC & FINRA Compliance at PMCR 2025! Don’t fall victim to FOMO, join us at PMCR 2025 Feb. 27-28th in NYC. Enter coupon code FTFPODCAST to receive a 10% off your ticket just for listening to this episode.  Simple as that.  - https://pages.ftfnews.com/ftf_performance_measurement_and_client_reporting

For more resources from the Investment Advisor Association - https://www.investmentadviser.org/

Follow FTF on LinkedIn to stay connected! - https://www.linkedin.com/company/financial-technologies-forum

Connect with Sanjay Lamba on LinkedIn - https://www.linkedin.com/in/sanjay-lamba-214a542/

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