Conquering Current Compliance Challenges
Aug. 14, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters


 
ADVERTISING/MARKETING REGULATORY GUIDANCE
1/22/2015 | Content area: Investment Adviser | Private Fund
Here’s the scenario: Your firm hires a new portfolio manager whose history makes him look like the Wall Street version of a titan. The marketers can’t...
10/16/2014 | Content area: Investment Adviser | Private Fund
The SEC’s rules regarding advertising and marketing were developed long before the internet could have ever been imagined but that doesn’t mean your f...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act...
9/25/2014 | Content area: Investment Adviser | Private Fund
Even the SEC recognizes its advertising and marketing rules for advisers aren’t easy.   “Advertising and marketing is a really challenging and difficu...
4/07/2014 | Content area: Investment Adviser
Last week, the SEC's Division of Investment Management released new guidance on when investment advisers can publish social media comments about their...
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