In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising and Cash Solicitation Rules.The Marketing Rule represents both significant continuity with and a significant departure from the current rules. November 4, 2022 is the SEC’s imposed deadline for compliance with these new amendments.
Please join Proskauer partners and regulatory specialists, Robert E. Plaze and Robert H. Sutton, as well as partner, Nicholas “Carter” Noon from our Private Funds group, for an in-depth discussion of what these rules truly mean for RIAs, ERAs and non-US based managers. This special 2-hour Bottom Line will provide a deep dive into the applicability of, and the nuances of this new rule.
Topics to be covered:
- What is an “Advertisement?”
- Prohibitions
- Testimonials/endorsements/third-party ratings
- Past Performance
- Arrangements with placement agents
- Form ADV disclosure amendments and new recordkeeping requirements
- Compliance policies and procedures/implementation
Tuesday, September 13
12:00 - 2:00 p.m. ET
About the Series
The Bottom Line webinar series will address an array of business topics and offer legal analysis for asset managers, providing you bottom line considerations for your business. These interactive discussions will include presentations by the Proskauer team and a live Q&A with questions from attendees.
The Bottom Line