Conference Materials

2022

SEC Marketing - Performance Issues

Monday, May 2, 2022 2:15 PM - 3:15 PM

Speaker

Roza Rivanshokooh

Director Private Wealth Compliance
CIBC PRIVATE WEALTH
Atlanta, Georgia

Speaker Bio

Session Description

This session will provide background on the SEC marketing rules on performance with topics such as model vs. actual performance, performance portability, and disclosure requirements. This session will also highlight some of the changes to performance advertising as a result of the new SEC Marketing Rule and how that may impact your firm's marketing materials.

Session Materials

SEC Marketing – Performance Issues

SEC Marketing – Performance Issues