ComplianceCast: Advertising & Marketing Compliance

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.

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