Part One of the MoFo Investment Management Group’s RIA Compliance Round Table Series

Topics include:

• Offering Limits on Advertising
• SEC’s “Anti-Fraud” Rules
• Presenting Past Performance
• Portability of Track Record at Prior Firms
• Books and Records
• SEC “Hot Buttons”
• JOBS Act Effect on Marketing Private Funds

California CLE Credit
Morrison & Foerster LLP (Provider #2183) certifies that this activity has been approved for MCLE credit by the State of California in the amount of 1.0 hour.

New York CLE Credit
Morrison & Foerster LLP has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York.

This transitional and non-transitional continuing legal education program has been approved in accordance with the requirements of the Continuing Legal Education Board for a maximum of 1.0 credit hour.