Tag: advertising compliance

Investment advisers that rely on annual compliance reviews risk overlooking gaps between written policies and day-to-day practices, according to a recent Risk Alert from...

Life insurance and annuity marketing is becoming more complex as insurers target new audiences across more channels, creating additional pressure for compliance teams still...

The golden rule of advertising compliance has quietly been rewritten. For decades, a misleading ad only attracted regulatory attention if a consumer was annoyed...

The regulatory rulebooks of the UK and the EU, once built on an identical foundation of European financial services law, are steadily pulling apart,...