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The Investment Adviser Marketing Rule: A Compliance Crash Course

This practical and action-oriented session provides investment advisers with a compliance guide to the new investment adviser marketing rule.
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Isaac Mamaysky

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To replace what it has described as “an outdated and patchwork regime on which advisers have relied for decades,” the SEC recently adopted a new Investment Adviser Marketing Rule. The new rule has introduced a sea of change to the investment adviser regulatory landscape, and the SEC has identified compliance with the new rule as an enforcement priority. This practical and action-oriented session provides investment advisers with a compliance guide to the new rule.

Learning Objectives:

After completing the webinar, investment advisers will know: 

  1. How the old investment adviser marketing rules have changed, and which of the old obligations no longer apply
  2. Knowledge of how to comply with the new marketing rule and their key obligations under the new marketing rule
  3. Understanding of the SEC’s enforcement priorities in regards to the new rule

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