Advertising & Marketing Compliance: The Rules, Hot Topics & Reviewing Tips

Broadcast Date: Tuesday, Apr 25, 2017 at 2pm ET

  • 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

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Join the Discussion: Live Advice on Managing Your Firm’s Due Diligence Process

Broadcast Date: Tuesday, May 23, 2017 at 2pm ET

Your firm can outsource an activity to third-party vendors, but it still retains oversight responsibility. This ComplianceCast is designed to review industry practices pertaining to identifying and monitoring service providers and address your questions about developing and implementing a due diligence program through an active Q&A roundtable discussion. Our panel of veteran due diligence professionals will discuss:

  • Creating risk profiles for each service provider
  • Initial due diligence of vendors
  • Methods of monitoring existing of service providers
  • Answers to your due diligence questions.

Bring your due diligence questions to this interactive Q&A roundtable or submit questions beforehand to mchiappetta@ascendantcompliance.com. Our panelists will include answers to questions received in advance in the presentation.

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ComplianceCasts™ are the property of Ascendant Compliance Management, Inc. (“Ascendant”) and/or may not be reproduced or redistributed in any form without the express written consent of Ascendant. ComplianceCasts™ are provided for educational purposes only, and are not intended to be and cannot be construed to be financial or legal advice. Ascendant is not a law firm and does not provide legal advice. Adherence to any recommendation does not imply compliance with any applicable law, regulation, or guidance. All facts and matters stated herein should be independently verified.