Common Marketing Pitfalls for Investment Advisers

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.

Join ACA and Richard Kuhlman of Bryan Cave LLP for a 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