Advertising/Marketing

A peer shares a new solicitation P&P designed to comply with the new SEC IA ad rule

Enforcement deadline looms

A peer shares the adviser's disclosure related to the use of interactive analysis tools under the SEC's new IA ad rule

This is an example from a peer of the firm's policies and procedures for use of predecessor performance data. These P&Ps are based on GIPS ...

The ad rule defines an endorsement, in part, as anyone who directly or indirectly solicits any current or prospective client to an adviser

An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials

Would client entertainment—tickets to a sporting event or treating a client to dinner—be considered compensation? Advisers will have to tackle this question

A peer shares the firm's checklist for using testimonials and endorsements

A peer shares the adviser's disclosure advice for use of testimonials and endorsements

Attorney Michael Caccese lays out a plan for getting ready for the SEC's new IA ad rule. Video runs 8:21