Conquering Current Compliance Challenges
June 12, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: May 15, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
ADVERTISING/MARKETING NO-ACTION LETTERS
5/08/2018 | Content area: Investment Adviser
You argue that, so long as appropriate disclosure is provided, it would not be misleading for the Minis Division to continue to use the Minis performa...
8/19/2014 | Content area: Investment Adviser | Private Fund
    Investment Advisers Act of 1940 - Section 205(a)(1) Amerivest Investment Management, LLC August 19, 2014 Response...
11/07/2008 | Content area: Investment Adviser | Private Fund
    Investments Advisers Act of 1940 Section 206(4) and Rule 206(4)-1(a)(2) The TCW Group, Inc. Nov...
1/20/2006 | Content area: Investment Adviser
This SEC Division of Investment Management no-action letter deals with use of performance data from a PM's prior firm being applied to an advertisemen...
1/01/2006 | Content area: Investment Adviser
This SEC no-action letter provides guidance on use of performance data achieved prior to joining a firm, for advertising and marketing purposes.
12/02/2005 | Content area: Investment Adviser
This is the SEC's 2005 no-action letter that shed light on use of testimonials in advertising and marketing.
12/06/2004 | Content area: Investment Adviser
Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF TH...
3/01/2004 | Content area: Investment Adviser
This is an SEC no-action letter from 2004 providing guidance on the use of past-specific recommendations in firm advertising and marketing.
7/06/2000 | Content area: Investment Adviser
This is a copy of the SEC's no-action letter related to advertising and marketing in response to a request from Jennison Associates.
12/10/1998 | Content area: Investment Adviser | Private Fund
This is a copy of the 1998 Franklin no-action letter that relates to quarterly reports to clients.
12/18/1996 | Content area: Investment Adviser
This 1996 no-action letter helps to define what net-of-fee performance data means. The SEC, in this correspondence, held that it include all transacti...
9/13/1996 | Content area: Investment Adviser
This 1996 no-action letter from the SEC to Horizon Asset Management goes into the ability of firms to use a previous owner's performance data in adver...
5/17/1996 | Content area: Investment Adviser
This is an SEC no-action letter from 1996 to Munder Capital Management that speaks of the use of advertising and marketing on the Internet.
5/07/1996 | Content area: Investment Adviser
This is the J.P. Morgan Investment Management no-action letter from the SEC in 1996 that provided additional guidance for advertising and marketing of...
10/28/1986 | Content area: Investment Adviser | Private Fund
This is the famous Clover Capital Management no-action letter from the SEC in 1986. It opened up new ways for firms to provide advertising and marketi...
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