The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a new Risk Alert Sept. 14, 2017, outlining the most frequent compliance issues relating to Rule 206(4)-1 of the Investment Advisers Act of 1940 (the Advertising Rule). The Risk Alert summarizes several key deficiencies regarding disclosures when investment advisers promote rankings, identify professional designations, or provide misleading performance and other information in their marketing efforts.
This webinar will examine the Advertising Rule and key issues recently identified by the OCIE in its examination of investment adviser marketing practices. The panel will discuss advertising and promotional practices to avoid and the potential consequences for noncompliance and provide practical advice on how an investment adviser should respond to a deficiency letter from OCIE.
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