Conquering Current Compliance Challenges
Mar. 13, 2019 | 2:00 - 2:30 PM EST

Strategies to Make this Year’s Form ADV Update a Breeze
Feb. 19, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: February 13, 2019 
  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 OVERVIEW

The SEC expects that advisers will produce truthful ads. Trouble can come if a firm puts out false or misleading marketing.
 
Investment Advisers Act rule 206(4)-1 defines an ad as essentially any “written communication addressed to more than one person” related to advisory services. This sweeping definition also covers broadcasts and electronic communications, such as social media, to clients and potential clients. Other examples cited include firm newsletters, press releases, web postings and more.
 
As the SEC has stated, compliance entails avoiding use of “any untrue statement of a material fact or that is otherwise false or misleading.”
 
Beyond the Advisers Act, over the years compliance has grown out of a series of important no-action letters.
 

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