June 27, 2017
Advertising & Marketing Compliance: The Rules, Hot Topics & Reviewing Tips
This ComplianceCast covers the following topics:
- Investment Adviser Advertising Rules and No-Action Guidance
- Performance Advertising – General Requirements, Model Performance & Hypothetical Back-tested Performance
- Use of Third-Party Performance in Advertising – Disclosures & Caveats
- Considerations for Different Types of Media
- Anatomy of Reviewing Advertising Materials – Illustration of the Review Process & Key Considerations
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