2024 NSCP Interactive Compliance Labs

Kelly Howes, joined by esteemed peers, will be speaking on the IA/PF – Marketing: The Marketing Rule and Beyond panel at 2024 NSCP Interactive Compliance Labs.

IA/PF – Marketing: The Marketing Rule and Beyond

The SEC created a sea change with the Marketing Rule and the resulting waves continue to drive the compliance agenda for private fund managers and traditional advisers alike. This interactive session will explore some of the more challenging elements of the Rule, including determining the net performance of one (or more) securities held in a fund or other portfolio and oversight of third-party marketing of a private fund or advisory services. This is an intermediate session and assumes a working knowledge of the Marketing Rule. The session will use case studies, examples, group discussions, and other application activities to:

• Identify thorny issues in the application of the Marketing Rule.
• Review the guidance on the Marketing Rule, including Risk Alerts, Sweep Exams, and enforcement.
• Learn how colleagues are addressing these issues.
• Apply learnings to case studies and examples and discuss alternative approaches.