3d. IA/PF - The Marketing Rule: Practical Guidance from What We Have Learned (Intermediate)
The SEC Marketing Rule has been in effect for almost three years but challenges in interpretation and implementation remain. This session will focus on those areas that have posed the greatest challenges for advisers, and considerations on how to implement internal controls to comply with this complex rule. Through case studies and examples, participants will learn about challenges surrounding the use of testimonials and endorsements, changes to the promoter’s rule, challenges on the use of performance to advertise advisory services, the use of hypothetical performance, and more. This is an intermediate program and familiarity with the Marketing Rule and related FAQs is assumed. This session is open to regulators but closed to members of the press.
