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Foreside Connections Webinar: Part II – New SEC Marketing Rule: What You Should Know

 

During Part 2 of our recent webinar on the new SEC Marketing Rule, Foreside & Stradley Ronon discussed:

  • What controls must your firm have in place before you begin advertising testimonials or endorsements
  • What are the most significant impacts of the Marketing Rule on private fund advisors
  • What are the consequences of the Marketing Rule on dual IA/BD registrants
  • What are the potential compliance traps the Marketing Rule presents, and how your firm can avoid them
  • What could go wrong with advertising performance

The amendments to this rule will have vast implications for the compliance and business practices of nearly every registered investment advisor.

 

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