Session 1: Marketing Rule Revisited: Developments Since November 4th

The SEC’s Marketing Rule made huge changes that required nearly every adviser to re-think its compliance approach to marketing and solicitation.  This session will look at formal and informal developments and seek to assess where things stand six months into the new rule.  Discussions will include recent developments on topics such as: solicitor and placement agent agreements, the scope of the net performance requirements, attribution, interactive tools and more.

Learning Objectives:

• Learn what the regulatory staff has been saying about compliance with the rule, sweep exams and more

• Understand the thorny issues and how firms are dealing with them

• Benchmark your practices against evolving market practices

• Identify areas of continuing uncertainty