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IA Watch’s The Adviser’s Guide to SEC Advertising and Marketing Rules

US$ 295.00

Key Information

  • ISBN: N/A
  • Publication Date: June 2018
  • Number of Pages: 311

The Adviser’s Guide to SEC Advertising and Marketing Rules features best practices and advice from your peers, experts and even the SEC itself. Included on the CD are 23 best practices, 2 GIPS, 15 no-action letters and 5 peer-tested tools.

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Comprehensive guide to advertising and marketing rules set by the SEC

Modern means of communications take place in so many ways. Mobile devices place the internet in your hands. You can share your thoughts with thousands via a single tweet. You can become a video star overnight via YouTube. A post to Facebook could be seen in seconds the world over. None of these media could have been envisioned when the SEC promulgated its advertising rule way back in 1961. That’s why IA Watch has published The Adviser’s Guide to SEC Advertising and Marketing Rules.

Content highlights:

  • 23 Best Practices and Guidance on Advertising and Marketing
  • 5 Peer-tested tools
  • 15 No Action Letters
  • 2 GIPS
  • Rule 206(4)-1, IM Guidance and a risk alert

Who should buy this book:

  • RIA Compliance Professionals
  • Consultants
  • Lawyers

- Carl Ayers, Publisher

Advertising and Marketing Best Practices and Guidance

1. Introduction
2. A primer to stay on the right side of the SEC's advertising and marketing rules
3. Perils of advertising and marketing rules speak to the need for best practices
4. Adviser fined for CCO role in failing to oversee advertisements that misled
5. ‘Low hanging fruit’ likely means enforcement will keep picking advertising cases
6. F-Squared CEO found liable for misleading statements
7. New OCIE risk alert aims to help advisers avoid advertising deficiencies
8. Taking the measure of the accuracy of another adviser’s performance advertising
9. Many tripwires lay before performance advertising so use it with care
10. 30-year-old no-action letter has legs even if it stumbles in new social media world
11. ‘Imprecise’ disclosure surrounding advertised performance results in enforcement action
12. Backtested ads have always required care, even more so post-Lucia ruling
13. Zeroing in on when a one-on-one presentation becomes an advertisement
14. It’s permissible to use predecessor performance data but beware missteps potential
15. Adviser obtains permission to use advertising track record after merger
16. Compliance steps for monitoring your firm’s websites
17. Advertising and marketing hot-spots that can attract trouble
18. Care and contemplation should surround decisions to change index comparisons
19. Crowing about your firm in an ad without backup proof of claims can get your roasted
20. Debate, if you wish, whether pitchbooks are ads but best practices suggest review them
21. IM declares social media commentary need not be considered to be testimonials
22. A simple web search can unveil how easy it is to stumble over advertisements
23. Coveted TV spots draw staff like bees to honey but take steps to avoid getting stung
24. You can use outside materials in your marketing efforts but first take these steps

Advertising and Marketing GIPS

1. GIPS tips to avoid trouble on SEC exams
2. SEC Enforcement case shows the agency will cite firms for fraudulent GIPS claims

Rule 206(4)-1 -- Advertisements by Investment Advisers

1. Rule 206(4)-1 -- Advertisements by Investment Advisers

Advertising and Marketing Risk Alert

1. The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers

SEC Division of Investment Management Guidance

1. Guidance on the testimonial rule and social media
2. Investment Adviser Use of Social Media

Advertising and Marketing No Action Letters

1. Clover Capital Management
2. Amerivest Investment Management
3. The TCW Group
4. Bramwell Growth Fund
5. IAA No-Action Letter
6. Trainer, Wortham & Co.
7. Investment Counsel Association
8. Jennison Associates
9. Franklin Management
10. Association for Investment Management and Research
11. Horizon Asset Management
12. Munder Capital Management
13. J.P. Morgan
14. Denver Investment Advisers
15. Conway Asset Management

Advertising and Marketing Tools

1. Advertising and Marketing checklist
2. Advertising Checklist
3. Marketing Approval Form
4. Advertising P&Ps
5. Advertising Test Matrix


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