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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