Matthew J. Kutner
This CLE webinar will examine Rule 206(4)-1 of the Investment Advisers Act of 1940 (the Advertising Rule) and key issues recently identified by the SEC’s Office of Compliance Inspections and Examinations (OCIE) in its examination of investment adviser marketing practices.
Associate Matthew Kutner will join the panel to discuss advertising and promotional practices to avoid and the potential consequences for noncompliance.
Topics will include:
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