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New Amendments to the Marketing & Advertising Rule: What You Should Know

KL Gates Hosted Event
Date: 6 January 2021
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Our Asset Management and Investment Fund lawyers teamed with ACA Compliance Group to examine the U.S. Securities and Exchange Commission’s recently adopted amendments to modernize Rule 206(4)-1 (the Advertising Rule). The amendments will have vast implications for the compliance and business practices of nearly every investment adviser in the United States.

Register and watch the on demand webinar to explore these topics:

  • What is an “advertisement” under the amended Advertising Rule
  • Interpreting and applying the new “principles-based” standards
  • Presentation of gross and net performance
  • Practical impacts of the amendments on private fund managers
  • Guidelines for referencing specific investments
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