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Marketing & Advertising Compliance Forum for Investment Advisors

August 22, 2016 - August 23, 2016


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:

  • Avoid enforcements through accurate performance marketing & advertising materials
  • Establish an active and compliant digital and social media presence
  • Maintain consistent adherence to GIPS® standards
  • Expose and eliminate operational vulnerabilities when compiling marketing materials
  • Prepare for an SEC exam and avoid unwanted SEC enforcements

Highlights Include

  • Best practices for establishing compliance policies and procedures that keep you out of hot water with the SEC
  • Deep dive into the SEC’s top priorities regarding marketing & advertising
  • Tips & tricks for a compliant internet-based, mobile-friendly marketing and advertising campaign
  • How to update marketing & advertising materials to reflect fiduciary rule changes
  • Proactive preparation to stay ahead of an SEC exam
  • Best practices for providing accurate, error-free RFP responses, client inquires, and DDQs that don’t mislead investors
  • A look at the JOBS Act and its influence on the advertising & marketing of private funds