Advertising & Marketing Rules: What’s Expected of CCOs, Plus How Your Peers are Using Social Media in Light of the New Exam Alert
June 19, 2012
An SEC exam doesn’t end without intense scrutiny of a firm’s advertising and marketing.
Know the compliance officer’s role in reviewing and monitoring your firm’s marketing efforts. Sign up for our June webinar and get a solid understanding of SEC rules, along with best practices to do your job with aplomb.
Make your plans now to join us on June 19th by registering today, logging in on the 19th and discovering:
- Best practices for how compliance can monitor firm advertising and marketing efforts
- How your peers are using social media following the SEC’s exam alert
- Where advisory firms tend to err in attempting to satisfy SEC advertising rules
- Various approaches to working with marketing staff to achieve your compliance objectives
- Examples of what SEC examiners are asking for in their reviews of firm marketing
- Why in an increasingly online world you can’t neglect marketing that appears in pitch books, RFPs, brochures, newspapers and other media
- And much more.