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#14: SEC Marketing Rules: Insights from an SEC Exam Expert

In November 2022, the SEC issued new rules that dictate how firms can market hypothetical performance, case studies, testimonials, and other promotional materials. In this episode, Bree Pollard, Director at the ACA Group, shares practical advice on navigating the 2023 SEC Exam Priorities. The conversation explores:

  • What the common mistakes are when marketing hypothetical performance
  • Where firms should focus their time and resources
  • How to share investment strategy performance

Join hosts, Trent Berry, and Jasmine Conner for an in-depth conversation with real-world applications.


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Breanna Pollard

Guest Speaker | Director, ACA Performance Services

Breanna Pollard is a Director with ACA Performance Services, a division of ACA Group, where she manages client relationships and serves as the technical lead and a subject matter expert in the completion of periodic verifications of investment management firms’ adherence to the Global Investment Performance Standards (GIPS®), and other performance-related service offerings such as focused performance reviews and performance consulting on the SE Marketing Rule and FINRA RN 20-21.

Breanna earned her Bachelor of Science degree in Public Accounting and earned her Juris Doctor of Law from the University of Oregon School of Law.

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Jasmin Conner

Host | Associate Solutions Consultant, Black Diamond, SS&C Advent

Jasmin Conner is an Associate Solutions Consultant for Black Diamond, an SS&C Advent company. She takes a great deal of pride in working with SS&C clients and prospects to understand their unique needs, tailor specific solutions around those needs and educate firms on the award-winning Black Diamond offerings to help firms successfully grow their business.

In her spare time she most enjoys spending time with her family, gardening/collecting plants, volunteering within her community, and boxing. A New Jersey native, now based out of the great city of Jacksonville, Florida Jasmin also supports her family’s business.

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Trent Berry

Host | SS&C Advent

Informally known as ”The Voice of University,” Trent Berry joined SS&C Advent at the turn of the century in 2000, having previously worked in Support and Consulting before occupying his current long standing role as Advent’s Senior Instructional Designer As such, he is responsible for client and employee training for products such as APX, Axys, and Geneva. In his spare time when not working or perfecting French cooking techniques in his kitchen,

Trent owns and operates Dreamrack Studios, a professional recording studio in San Francisco where he can be found producing and engineering music for various artists.