9d. IA/PF – Performance Advertising Rules: Now and Into the Future (OPEN)

This session will address the use of performance advertising by investment advisers and private funds. While performance disclosure is not a requirement, the panel will discuss how performance data must, if used, be presented under the new IA marketing rule. Regulators and members of the press may attend this session.
Learning Objectives:
• Analyze the effect of the new rule on performance advertisements, including the withdrawal of prior SEC no-action letters and guidance
• Discuss the disclosure requirements for performance advertising
• Understand the role of and the use of related, extracted, and portable performance
• Explore compliance considerations regarding the various types of hypothetical performance

Sponsored by

Intermediate                        Program Level: Panel Date: November 10, 2021 Time: 9:00 am - 10:15 am Michael Cramer Steven Hansen Christine Ayako Schleppegrell

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