Have questions on Advertising and Marketing Compliance?
Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics & Reviewing Tips for compliance professionals.
This complimentary ComplianceCast covers the following topics:
- Investment Adviser Advertising Rules and No-Action Guidance
- Performance Advertising – General Requirements, Model Performance & Hypothetical Back-tested Performance
- Use of Third-Party Performance in Advertising – Disclosures & Caveats
- Considerations for Different Types of Media
- Anatomy of Reviewing Advertising Materials – Illustration of the Review Process & Key Considerations
For a free download, click here and fill out the download request form.
Written by: Ascendant Compliance Management