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K&L Gates Releases Updated Marketing and Advertising Checklist for Investment Industry

18 April 2023

Boston – Members of K&L Gates LLP’s Asset Management and Investment Funds (AMIF) practice have developed and updated the firm’s comprehensive Marketing & Advertising Checklist for investment professionals. In the United States, the marketing practices of investment advisers and broker-dealers may be governed by different—and sometimes conflicting—rules and requirements, including Rule 206(4)-1 under the Advisers Act (Marketing Rule), Financial Industry Regulatory Authority (FINRA) rules and guidance, the Global Investment Performance Standards (GIPS®), and Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA) obligations. The detailed Marketing and Advertising Checklist, updated by Michael Caccese, K&L Gates’ chairman and a leader of the firm’s global AMIF group, and fellow AMIF partner Pamela Grossetti, helps professionals navigate the challenges in addressing these varying requirements.

Caccese said: “We are thrilled to release the updated checklist. This resource serves as a beneficial tool for any industry professional who needs guidance steering through the various and complex requirements related to the marketing and advertising rules.”

K&L Gates’ AMIF practice has more than 50 years of experience in the financial services industry and comprises more than 150 lawyers throughout Asia, Australia, Europe, the Middle East, and North America. These lawyers provide advice to investment companies and advisers, broker-dealers, emerging managers, and institutional investors across a range of areas, including on investment, hedge, private equity, and real estate funds, regulated funds and exchange-traded products, capital markets and derivatives, ERISA, ESG, and global regulation and distribution, among others.

Download a copy of the Marketing and Advertising Checklist here.

K&L Gates is a fully integrated global law firm with lawyers located across five continents. The firm represents leading multinational corporations, growth and middle-market companies, capital markets participants and entrepreneurs in every major industry group as well as public sector entities, educational institutions, philanthropic organizations and individuals.

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