The Securities and Exchange Commission’s (“SEC”) recent plan to modernize the Advertising and Cash Solicitation Rules under the Investment Advisers Act of 1940 contains significant implications to the manner in which many Advisers conduct business. Join us for an overview of the proposed principles-based approach to overhauling the decades old rules.
- Define advertising and other terms more clearly, reflecting advances across all forms of communications.
- Explain testimonials, endorsements, third-party ratings, solicitor payments.
- Discuss performance restrictions, enhancements, and supporting disclosure requirements across institutional and retail client bases.
- Analyze the “qualified review persons” position and identify other additional new policies and procedures.
- Date:April 20, 2020
- Time:9:45 am
2020 Spring Conference – April 20