Investment Data Compliance: An Evolving Standard

Investment Data Compliance: An Evolving Standard

August 18, 2020 At 11AM CST / 12PM EST

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The SEC is updating and enhancing its rules & regulations for investment management advertising and marketing.

In particular, the SEC has expanded its definition of "advertising" to include communications

“...[D]isseminated by any means, by or on behalf of an investment adviser, that offers or promotes the investment adviser's investment advisory services."

That must include investment data published to the industry databases.

Is your firm's compliance team ready for what's coming?

In this webinar, APX Stream and outsourced compliance company, Cipperman will walk investment managers through the new environment, discussing what to expect and how best to navigate the evolving landscape.

Topics include:

  • Overview of the Proposed Regulatory Updates
  • The Role of the Investment Databases in the Due Diligence Process
  • How Managers Leverage the Databases as a Marketing Tool
  • Why Investment Data is an Emerging Compliance Issue
  • Best Practices for Compliant Data Marketing & Distribution