On September 14, 2017, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a Risk Alert, which identified the most frequent Advertising Rule compliance issues uncovered by examiners during their examinations. By attending this webinar, SEC and state-registered investment advisers can correct their own advertising mistakes before it’s too late. Join us as we review the following:
- The basics of advertising compliance;
- Advertising content to avoid;
- Performance advertising and the Clover Capital no-action letter;
- OCIE’s latest Risk Alert on advertising;
- Most frequent advertising compliance issues identified by examiners; and
- Best practices for advertising.