Content Track: Compliance Program
The SEC’s recent September 2017 Advertising Rule Risk Alert highlights areas for which the regulators will now have little patience during examinations. This workshop will review the guidance and existing rules, and sample examples of deficient marketing materials. Designed to foster expertise on all the SEC’s decades of marketing guidance on adviser marketing and advertising rules, it will engage participants by working through case studies to identify the issues.
The workshop will examine: how misleading performance results can be identified; when a ‘Securities Case-Study’ is not cherry-picking; and how to determine whether your compliance policies and procedures are operating effectively. The discussion will also consider non-traditional marketing platforms such as social media and special issues for private investment funds.
*Pre-conference workshops run concurrently so you will not be able to attend two workshops at the same time.