Investment Adviser Advertising Rule: New SEC Guidance and Best Practices for Compliance

Strafford Webinar

11/21/2017

Investment Management

Matthew J. Kutner

Matthew J. Kutner

Webinar

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:

  • What are the underlying tenents of the Advertising Rule and why is it an enforcement priority for the SEC?;
  • What types of marketing deficiencies were repeatedly identified in the OCEI’s recent Risk Alert?; and
  • What kinds of policies and procedures should an investment adviser put in place to ensure compliance with the Advertising Rule?

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