The U.S. Securities and Exchange Commission (SEC) recently adopted amendments to modernize Rule 206(4)-1 (the Advertising Rule) under the Investment Advisers Act of 1940. The Advertising Rule was the SEC’s first antifraud rule governing the activities of investment advisers, and in many respects it remains the most important. The recent action represents the first substantive amendments to the rule since its adoption in 1961. The amendments will have vast implications for the compliance and business practices of nearly every investment adviser in the United States.
In particular the webinar will address:
We hope you will join us for an interactive discussion on this landmark rulemaking.
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Mike CacceseChairman, Practice Area Leader - Asset Management and Investment Funds, K&L Gates |
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Mike McGrathPartner, K&L Gates |
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Kim VersaceSenior Principal Consultant, ACA Compliance Group |