Since the SEC’s Marketing Rule became effective in November 2022, registered investment advisers have had to rethink how they communicate performance, expertise, and client experiences. Firms updated disclosures, reviewed – and possibly reengineered – performance depictions, reviewed third-party ratings, revisited policies on testimonials and endorsements, and strengthened pre-review processes for marketing materials. Still, firms continue to struggle in interpreting aspects of the Rule’s practical boundaries. The result is a landscape where the intent of compliance is clear, but the application may vary.

On November 20, please join AIMA and Dechert LLP for a Back-to-Basics webinar on practical considerations for Marketing Rule compliance. During the session, we will examine what adviser practices have emerged as effective, how guidance from the SEC’s FAQs has clarified certain elements, and where ambiguity still remains. We will discuss best practices for a compliant marketing program, as well as what further clarification the SEC may provide.

As always, attendee questions are welcome and encouraged. We hope you will join us for this timely and informative webinar. To register, please click on the link below.

Panelists:

• Michael W. McGrath, Partner, Dechert LLP
• Suzan Rose, Senior Advisor, Government & Regulatory Affairs, AIMA

Sponsored by: