Given the amount of data that has become easily accessible through public channels, both retail and institutional investors are increasingly asking complex questions about the investment performance of products and strategies. This fact, combined with the complex set of regulations that applies to investment advisers and broker-dealers, results in large volumes of work for compliance and legal departments, often with short turnarounds. Adding to the challenge is the fact that different rules apply, depending on what kind of business you operate, what product or strategy you are discussing, and what type of investor you are discussing it with. We will seek to provide an overview of this complicated space and deliver attendees with a few general principles that they can commit to memory when creating and reviewing marketing materials that include performance data.

The presentation is for: financial professionals, marketing and advertising personnel, and legal and compliance personnel

Take-aways:

• What rules apply to what activities
• Do’s and don’ts for marketing performance
• Emerging trends and issues in the advertising space