Common Marketing Pitfalls for Investment Advisers

January 09, 2018 - 11:00 am to 12:00 pm
Investment Adviser
Richard Kuhlman, Partner, Bryan Cave LLP and Alicia Farrell, Consultant, ACA Compliance Group

In September of 2017, the SEC Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert addressing the most frequently identified compliance issues related to Rule 206(4)-1 under the Advisers Act. In addition to defining what an advertisement is, Rule 206(4)-1 sets forth five prohibitions in advertisements that are distributed by registered investment advisers.

On Tuesday, January 9th at 11am EST please join ACA Compliance Group’s Alicia Farrell and Richard Kuhlman of Bryan Cave LLP for a live webcast that will discuss common marketing and advertising issues related to Rule 206(4)-1 and best practices for registered investment advisers.

Discussion topics will include:

  • policies and procedures
  • testimonials
  • rankings, ratings, and awards
  • past specific recommendations
  • performance
  • recordkeeping

Speakers will reserve time at the end of the session to take questions from the audience.