Marketing by Investment Advisers and Private Fund Managers

Date: 
July 11, 2017 -
11:00 am to 12:00 pm
Type: 
Webcast
Division: 
Investment Adviser Private Fund
Speaker(s): 
ACA Compliance Group's Mark Lawler and Matthew Shepherd, and ACA Performance Services' Erika Roess

Investment advisers to both separately managed accounts and private funds need to market their advisory services and private funds in order to grow and sustain their businesses. Complying with the regulatory requirements when marketing advisory services and private funds is a challenge that investment advisers continue to face. How can investment advisers effectively promote their advisory services and private funds in a competitive market while complying with SEC rules and expectations?

Please join ACA Compliance Group's Mark Lawler and Matthew Shepherd, and ACA Performance Services' Erika Roess, on July 11, 2017 at 11 a.m. EDT for a discussion on how investment advisers can meet these competing demands.

Discussion topics will include:

  • Relevant and recent SEC rules, no action letters, and enforcement actions
  • Marketing practices frequently used by investment advisers and how to avoid potential pitfalls
  • Presenting performance results in an investment adviser's marketing materials
  • Industry best practices for calculating and presenting investment performance within SEC requirements
  • Maintenance of books and records necessary to support performance calculations

Throughout the webcast, the panelists will answer questions and respond to comments from attendees.