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New England Broker Dealer Investment Adviser Association Quarterly Meeting

3rd Party Hosted Event
Date: 24 February 2021
Time: 1:00 PM - 2:30 PM ET
Location: via Webinar
Register

K&L Gates lawyers will join New England Broker Dealer Investment Adviser Association's quarterly meeting where they will discuss the amendments to modernize Rule 206(4)-1 under the Investment Advisers Act, the marketing and advertising rules.

Topics will include:

  • Summary of the New Marketing Rule
  • General Principles-based Prohibitions 
  • Disclosures
  • Books and Records
  • Solicitors
  • Compliance Implementation Timeline
  • New England Broker Dealer Investment Adviser Association
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