A Compliance Guide for the New Investment Adviser Marketing Rule

To replace what it has described as "an outdated and patchwork regime on which advisers have relied for decades," the SEC recently adopted a new Investment Adviser Marketing Rule.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 a compliance guide to the new rule.

Learning Objectives:

1. Review how the old investment adviser marketing rules have changed, and which of the old obligations no longer apply
2. Discuss how to comply with the new marketing rule and key obligations under the new marketing rule
3. Examine the SEC's enforcement priorities in regard to the new rule