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FAQs: Amendments to the Marketing and Advertising Rule

KL Gates Hosted Event
Date: 3 February 2021
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On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments to modernize Rule 206(4)-1 under the Investment Adviser Act of 1940.

This action represents the first substantive amendments to the rule since its adoption in 1961 and has vast implications for the compliance and business practices of nearly every investment adviser in the United States.

This event features a webcast in which lawyers provide answers to the most frequently asked questions received in response to the new marketing rule and it's implications.

Discussion Topics

In particular the webcast addresses FAQs surrounding:

  • Definition of an advertisement
  • General principles-based prohibitions
  • Performance
  • Testimonials and endorsements
  • Social media
  • Disclosures
  • Books and records
  • Compliance timeline
  • ACA Compliance Group
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