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Advisor-client relationships are built on trust. Clearly, enforcements and violations erode that trust and chip away at your firm’s integrity and reputation. Yet advisory firms frequently run afoul of compliance rules due to simple errors, inadequate monitoring, and misinterpretations. Join leading compliance experts to examine core marketing & advertising compliance principles, explore the current SEC focus, glean what can be learned from recent enforcements, and clarify how rules and regulations apply in a digital & social media context. Gain the tools needed to shore up your firm’s vulnerabilities and avoid harmful compliance blunders at this must-attend compliance event!
Explore how investment advisory firms can mitigate compliance risks associated with marketing & advertising to: