Advertising/Marketing

One CCO envisions creating an approval form that his advisers would submit. It would document who made the testimonial, whether the endorsement came in writing ...

The investment adviser must have a reasonable basis for believing that the testimonial or endorsement complies with the testimonial requirements

Virtually everyone RCW spoke with hailed the new rule, even if some parts rubbed them the wrong way.

This is how the new IA advertising rule defines an advertisement

A Park Avenue private equity real estate adviser promised his clients lavish returns at low risk—and built an empire made of sand and fog, federal ...

Private fund adviser compliance officers are still digesting the SEC’s new advertising rules but for now they can give thanks for what’s not in the ...

The Commission accomplishes something that critics have long called for, modernizing its 1961 ad rule (and to a lesser extent, its 1979 cash solicitation rule)

Seven things an adviser should not do when it comes to advertising

"Pre-review is the best and most logical way to reduce the risk of advisers’ using advertisements that could mislead clients and prospective clients. However, certain ...

"Although advisers often find comfort in specifics that provide a roadmap to compliance, specificity can usurp advisers’ ability to exercise judgment about how best to ...