Advertising/Marketing

RCW gets some of your IA ad rule questions answered

Many advisers maintain a log to track items such as gifts and entertainment and political contributions. You may wish to add a new section to ...

“If you’re going to market in the U.S., you have to” show performance. “If you want to play the game, this is the way the ...

The CFA Institute grants RCW permission to share its report Reconciling the GIPS® Standards and the SEC Marketing Rule

Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures ...

A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads

The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...

Eversheds-Sutherland gives RCW permission to share with you its checklist to aid compliance with the SEC's new IA ad rule

The staff will review whether investment advisers have adopted and implemented written policies and procedures that are reasonably designed to prevent violations

A peers shares the firm's new advertising P&P designed for the new SEC IA ad rule