Over the last three posts to the blog (overview, performance, promoters), we’ve interrupted our previous schedule to provide insight into the U.S. Securities and Exchange Commission’s (“SEC”) recently adopted changes to the rules governing investment adviser marketing and advertising. In today’s post, we resume our previous topic thread focusing on the
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No Time Like the Present to Review Your Business Continuity Plan
The Secret Ingredient – Disclosure of Your Algorithm
Hypothetically Speaking – Advertising your Back-Tested Performance
Don’t Oversell It – False or Misleading Advertising
Bringing Up the Past – How to Navigate Past Specific Recommendations
Compliance with Solicitation: How to Build a Strong Referral Base
Can We Do That: A Case for Early Compliance Intervention
Brochure Supplements – How Much do your Clients Know about the Individuals Behind your Algorithm?
Providing Advice in a Digital World: Applying the Suitability Standard to Robo-Advisers
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