Conquering Current Compliance Challenges
Nov. 14, 2018 | 2:00 - 2:30 PM EST

Ethics: The Compliance Officer’s Role in Encouraging Your Firm
to Do the Right Thing

Oct. 23, 2018 | 2:00 - 3:00 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: October 10, 2018 
 
HANDBOOKS
  Includes: 9 Best Practices, 3 Proposed Disclosure Mockups
and a 60-minute Audio Webinar

The Adviser's Guide to SEC Advertising and Marketing Rules
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

The SEC Examinations Priorities Handbook
Includes: 28 Best Practices, 20 Document Request Letters and 6 OCIE Risk Alerts

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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