Advertising is key to obtaining and maintaining business for most advisers. But it’s also one of the most highly regulated areas by the SEC. Advisers face a variety of SEC and staff positions when marketing performance, using testimonials, highlighting past specific recommendations, and engaging solicitors. This web cast will:

• Differentiate SEC and GIPS performance advertising requirements
• Cover key no-action letters and other SEC staff positions
• Discuss the “Do’s” and “Don’ts” of marketing for traditional and hedge fund advisers
• Discuss the most common advertising pitfalls
• Review advertising-related books and records requirements
• Highlight recent SEC enforcement actions involving marketing by advisers