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This program will examine the SEC’s Investment Adviser Marketing Rule (Rule 206(4)-1), including identifying and interpreting core provisions. The presenter will cover how to evaluate and implement compliance best practices in terms of real-world marketing scenarios. Attendees will learn to recognize common Marketing Rule violations, to understand how to avoid similar violations in their own firm’s marketing strategies.
1. Recognize the key components of the Marketing Rule, including requirements related to performance advertising, testimonials and endorsements, and third-party ratings. 2. Understand compliance controls for marketing materials, including policies, recordkeeping, pre-approval processes, and supervision. 3. Analyze recent SEC enforcement actions to identify common compliance failures.