Lessons Learned from Recent Marketing and Advertising Deficiencies

Date: 
March 13, 2019 - 11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Adviser
Location: 
Speaker(s): 
ACA Compliance Group's Kimberly Daly and Carrie Morehead, and Stacey Song, Partner at Fried, Frank, Harris, Shriver & Jacobson LLP
Cost: 
Price: 
0.00

Please join ACA Compliance Group's Kimberly Daly and Carrie Morehead, and Stacey Song, Partner at Fried, Frank, Harris, Shriver & Jacobson LLP on Wednesday, March 13th at 11 a.m. ET for a complimentary webcast, Lessons Learned from Recent Marketing and Advertising Deficiencies.

Marketing is typically a focus area that the SEC pays close attention to since it involves how you represent your firm to the public. This webcast will cover recent SEC cases that highlight deficiencies in marketing and what your firm can do to avoid these mishaps. 

Our speakers will discuss lessons from recent SEC enforcement actions relating to marketing and advertising, including:

Discussion Topics

  • How to avoid violating the testimonial rule,
  • Ensuring statements are accurate and not misleading, and 
  • Understanding the basis of performance data.

There will also be time allotted to answer specific questions and respond to comments from webcast attendees.

Sponsors: