Investment Advisers Marketing Rule: State of the Rule, Application, Recent Developments and Enforcement Actions

This CLE webinar will take a close look at the Investment Advisers Act Marketing Rule (the Marketing Rule) and its application to registered investment advisers (RIAs). The panel will provide guidance on ensuring compliance with the Marketing Rule, review the Risk Alerts released by the SEC regarding Marketing Rule compliance, and highlight lessons learned from recent SEC enforcement actions.

DWT associate Michael McDonald will join the panel.