The SEC's Focus on Performance and the New Advertising Cash Solicitation Rules
Your desk!
This webcast is a part of ACA's free Spring Conference Webcast Series. In response to the impact the coronavirus (COVID-19) pandemic is having on our clients and the financial services industry, ACA has launched our Spring 2020 Compliance and Performance Conference in a virtual format.
Watch on demandRegulatory scrutiny of performance and related supporting records continues to be a hot topic for examiners. In the first half of this session, panelists recap performance-related SEC actions from recent headlines and what you can do to stay ahead. The second half focuses on the SEC's proposed amendments to the Advertising and Cash Solicitation Rules. While the amendments are not finalized, advisers should analyze the changes that may be needed to their firm's marketing.