1f. IA/PF Lab – When is an Advertisement Deemed to be Misleading? (SESSION IS FULL!)


In this lab, attendees will have the opportunity to review case studies and participate in a lively discussion working towards identifying potential advertising issues. This panel will also address the SEC’s risk alert on advertising.
Advanced Preparation: None
Pre-requisites for participation: No prerequisites are required
Learning Objectives:
• Ensure your advertising, policies, practices are aligned and compliant
• Discuss precautions when using hypotheticals and back-tested data or particular words and phrases
• Confirming performance numbers and data and its importance to your firm
• Ensuring all appropriate disclosures/sources to mitigate risk

Sponsored by:

Lab                        Program Level: Intermediate Date: October 21, 2019 Time: 9:50 am - 11:05 am Genna Garver Michelle Canela