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Webcast

The New Marketing Rule: A Focus on Performance

Join ACA and K&L Gates for a live webcast that will provide a detailed explanation of the specific performance requirements, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.

On Demand Any time Your Desk!

The SEC’s recently adopted amendments to Rule 206(4)-1 (the Advertising Rule) under the Investment Advisors Act of 1940 continues to be a hot topic across all firms that are registered with the SEC. The majority of changes that a firm will need to make in order to comply with the new rule are performance related.

Join ACA and K&L Gates for a detailed explanation of the specific performance requirements, how they differ from prior no-action letters, and what steps a firm should take now in order to be ready by the deadline.

In particular, the webcast will address:

  • Terminology – Definitions of the terms used by the SEC
  • Key considerations – Which changes should you be focusing on now?
  • Related, extracted, hypothetical, and portable performance
  • Net of fees – What fees should be reduced to get net returns?
  • Overlap with the GIPS® standards

Speakers

Mike Caccese

Mike Caccese

Chairman, Practice Area Leader - Asset Management and Investment Funds, K&L Gates

Mike McGrath

Mike McGrath

Partner, K&L Gates

Mike Caccese

Shivani Choudhary

Managing Director, ACA Compliance Group

Kim Versace

Kim Versace

Senior Principal Consultant, ACA Compliance Group

Learn More

Watch our recent webcasts on demand for an overview of the amendments to the Advertising Rule and its practical implications for firms and common FAQs.

Download The free eBook