Investment Adviser Performance Advertising Rules

The revised marketing rule expanded the definition of an advertisement and clarified performance advertising requirements. For Investment Advisers, who advertise their investment track record or who worry they might be inadvertently violating the performance marketing rules, this class will answer crucial questions. Delving into general prohibitions under the new marketing rule, as well as changes to the definition of an advertisement, this class offers insight into practical considerations under the latest performance advertising regulations.

Instructors Amy Jones and Arin Stancil provide an overview of the options available for presenting investment performance and discuss tips and traps to consider, even if you are not currently advertising performance. Attending this class will give you insight into the cost associated with marketing your performance track record in accordance with the SEC Marketing Rule.

In this class, you'll learn answers to many questions posed by the SEC Marketing Rule, including:

Amy Jones, CIPM is the Founding Principal of Guardian Performance Solutions LLC, a compliance and performance consulting firm whose sole purpose is to help investment advisers comply with regulatory advertising requirements such as the SEC Marketing Rule and industry standards such as the Global Investment Performance Standards (GIPS®).

Arin Stancil, CFA, CIPM is a Managing Director at Guardian Performance Solutions LLC. Arin is one of the industry’s leading experts on the Global Investment Performance Standards (GIPS®). Arin has been working with the GIPS standards for 24 years and has extensive experience interpreting and applying them to almost any situation. Arin also regularly assists firms that do not claim to comply with the GIPS standards to leverage the framework and methodologies outlined in the GIPS standards as industry best practices.