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IAA 2022 Compliance Workshops

Bibliography of Electronic Resources

  1. Investment Adviser Marketing – Adopting Release (December 22, 2020)
  2. Marketing Compliance Frequently Asked Questions, SEC Division of Investment Management Staff
  3. Investment Adviser Marketing – Small Entity Compliance Guide, SEC Staff
  4. Risk Alert: Examinations Focused on the New Investment Adviser Marketing Rule, SEC Division of Examinations (September 19, 2022)
  5. Preparing to Implement the New Marketing Rule (PowerPoint), IAA 2022 Compliance Conference
  6. Marketing & Advertising Checklist, K&L Gates LLP (October 2022)
  7. Advertising Rule and Marketing Rule Comparison Chart, Understanding the SEC’s New Marketing Rule, K&L Gates LLP (May 12, 2021)
  8. Marketing Rule Outline, Eversheds Sutherland (US) LLP (September 2022)
  9. The New Framework for Investment Adviser Marketing, Baker McKenzie (February 2022)
  10. Issue Spotting Exercises (Fall 2022)
    1. Example #1 – ABC Advisers Global Strategy Fact Sheet
    2. Example #2 – ABC Funds Performance Summary Slide
    3. Example #3 – XYZ Warehouse Case Study Slide
    4. Example #4 – Employee Social Media Post
    5. Example #5 – RFP Responses

 

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Contact

Lisa Gillette
lisa.gillette@investmentadviser.org or (202) 293-4222.

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