Navigating the Recent SEC Rulemakings: The New World of Investment Adviser Marketing – The Rule 206(4)-1 Amendments
May 04, 2021
This two-part webinar covered the following:
The SEC recently adopted amendments to Rule 206(4)-1 under the Investment Advisers Act of 1940, which modernized, updated and comprehensively revamped the marketing regime that applies to SEC-registered investment advisers. The amendments have significant implications for private fund marketing and also subsume the cash solicitation rule into the new marketing rule’s framework regulating endorsements by third parties. In this two-part webinar, Dechert panelists reviewed the changes and discussed key issues for investment advisers and private fund managers in implementing the rule changes.
For questions, please contact Emily.Harrington@Dechert.com.
Part 1: Tuesday, May 11, 2021
Topics covered:
- Scope and definition of “advertisement”
- General prohibitionsPast specific recommendations
- Guidance on social media
- Testimonials and endorsements/solicitation
- Form ADV and recordkeeping
To listen to the recording for Part 1, click here »
Part 2: Thursday, May 13, 2021
Topics covered:
- Performance advertising – general principles
- Gross and net of fees performance
- Required time periods for performance
- Related and extracted performance
- Predecessor performanceHypothetical performance
To listen to the recording for Part 2, click here »
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