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Unpacking the Proposed Advertising and Solicitor Rule

October 27, 2020
1:15 PM - 3:15 PM CDT
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Course Description:

Is this the dawn of a new day for IA advertising? While the SEC is reviewing the many comments to the advertising rule and deciding what (if any) changes they should make, advisers need to understand the nature and scope of a potentially tectonic shift in how advisory services are advertised and marketed. This session will review the potentially revolutionary changes the new rule could bring and discuss possible consequences (intended and otherwise) if the proposals are adopted. Special attention will be paid to the proposed changes in the rules governing the use of solicitors.

Learning Objectives

After attending this session, attendees should be able to:

  • Recognize how your current advertisements would change under the proposed rule
  • Prepare your advertising and marketing teams for possible new opportunities
  • Analyze your current solicitation procedures to determine if they may need to change

This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.

Genna Garver
Genna Garver
Of Counsel, Chair Investment Management GroupTroutman Sanders LLP

Genna Garver provides targeted, practical advice to investment advisers and their proprietary private investment funds. The private funds Genna advises implement a variety of investment strategies and structures, including hedge funds, private equity funds, private credit funds and funds of funds and other managers. Genna also represents institutional investors, funds of funds and family offices in connection with their private fund investments. Her clients appreciate the close personal attention she provides to help them navigate the complex maze of investment regulation.

Genna routinely advises clients on formation and offering matters for both domestic and offshore funds; SEC and state investment adviser, broker-dealer and private fund regulation; Investment Advisers Act compliance programs, annual reviews and ongoing compliance matters; and regulatory examinations and investigations. She also has extensive experience representing financial institutions in a variety of transactional and regulatory matters.

A sought-after speaker and author, Genna regularly presents at industry events on various aspects of securities law. She is also actively involved in numerous women’s and diversity initiatives in the financial services industry and is an active participant in 100 Women in Finance, the Investment Adviser Association, and the National Association of Compliance Professionals.

Genna received her J.D. from Northeastern University School of Law and her undergraduate degree, cum laude, from Bowdoin College.

Mederic Diagneault
Mederic Daigneault
Senior Director, Consulting OperationsNRS

Mederic (“Med”) is Senior Director, Consulting, at NRS and works with firm officers to develop, implement, and test comprehensive compliance programs tailored to each firm’s practice. Med conducts risk-based mock SEC examinations and compliance reviews of investment advisers of various sizes – from ultra-large investment managers with global operations and complex private fund managers, to smaller yet sophisticated firms working with a handful of staff and modest resources. 

Med is a frequent speaker at NRS and industry conferences, as well as topical live and desktop seminars sponsored by compliance and industry associations, law firms and other vendors. He authored The Core, Practical Advisers Act Compliance for the Private Fund Adviser, an Amazon #1 New Book (Category: Securities Law), published in late 2015, and was a contributing author and Editorial Board Member for Modern Compliance, Best Practices for Securities & Finance, Vol. II, published in 2017 by Wolters Kluwer.

Before joining NRS in 2004, Med practiced law as a corporate and securities attorney with a securities law firm.  He is admitted to the bar in the states of Connecticut and New York. He received his law degree from Boston College Law School and graduated Phi Beta Kappa from Wesleyan University in Middletown Connecticut.

For Whom: Designed to increase the professional competence of Investment Advisers.

Suggested Skill Level: Advanced

Maximum Recommended Credit Hours for this session will include CLE, CFP, IACCP® and CPE.

CA MCLE = 120 minutes
CFP = 2 credits
IACCP® = 120 minutes
CPE = 120 minutes

For more information, check out the NRS Continuing Education Guide.