The Marketing & Advertising Compliance Forum for Investment Advisors 2016 is dedicated to Enhance your growth potential through compliant advertising & marketing practices.
The Marketing & Advertising Compliance Forum for Investment Advisors 2016 covers topics such as:
- The SEC’s top priorities regarding marketing & advertising
- Best practices for establishing compliance policies and procedures that keep you out of hot water with the SEC
- How to update marketing & advertising materials to reflect fiduciary rule changes
- Tips & tricks for a compliant internet-based, mobile-friendly marketing and advertising campaign
- Providing accurate, error-free RFP responses, client inquires, and DDQs that don’t mislead investors
- Proactive preparation to stay ahead of an SEC exam
- JOBS Act and its influence on the advertising & marketing of private funds