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How Investment Advisers Can Mitigate Common Advertising Risks

A recent webinar hosted by Ascendant Compliance Management featured Adam DiPaolo, associate general counsel and senior consultant at Ascendant; Michael W. McGrath, partner at K&L Gates; and Antonella Puca, director at the CFA Institute. This article summarizes the portions of the program covering SEC rules and guidance applicable to investment adviser advertising, including performance advertising, backtesting, testimonials, social media and illustrative SEC enforcement proceedings. For additional commentary from K&L Gates and Ascendant, see our two-part coverage of a cybersecurity panel: “Overview of Laws and Threats Applicable to Investment Managers” (Apr. 23, 2015); and “Overview of Cybersecurity Risk Mitigation Frameworks and Techniques” (Apr. 30, 2015).

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