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Critical Skills for High-Performing Compliance Professionals: Marketing and Social Media for Investment Advisers and Broker Dealers

October 18, 2019
11:30 AM - 1:30 PM PDT
View On-Demand

Course Description:

While Investment Advisers and Broker-Dealers must understand and comply with widely different definitions of what does and does not constitute an “advertisement”, they share the common challenge of finding fresh and effective ways of offering their services to a younger cohort of prospective clients. This session will compare and contrast the different rules and requirements faced by IAs and BDs, with a special focus on the most recent regulatory developments in advertising and marketing. Once the regulatory frameworks have been laid out, the panel will provide practical advice to help you advise your marketing department on compliant ways to employ both traditional channels and social media. This interactive session will also allow you to analyze sample advertisements to determine whether they are acceptable for either BDs or IAs.

After attending this course you will be able to:

  • Analyze the most recent developments in BD and IA advertising rules
  • Avoid common advertising pitfalls
  • Develop agile processes for ensuring compliant advertising and recordkeeping
  • Evaluate the risks associated with the newest marketing channels

For Whom: Designed to increase the professional competence of investment adviser professionals with legal, compliance, technology and management responsibilities

Suggested Skill Level: Basic

Instructional Method: Group – Internet Based and Group Live

Pre-requisites for participation: No prerequisites are required. However, attendees can benefit by reviewing the Investment Advisers Act of 1940, especially Section 206 & Rules 206(4) – 1 (Advertisements) & 204-2 (Books & Records) to become familiar with the structure and terms.

Advance Preparation: None

Continuing Education Guide
Recommended IACCP® CE Credit: 2