The long-awaited modernization of the SEC Rule 206(4)-1 (Marketing Rule) under the Investment Advisers Act of 1940 went into effect on May 4, 2021. The majority of changes that a firm will need to make in order to comply with the new Marketing Rule are performance related.
Watch the webinar 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 November 4, 2022 deadline.
You will learn:
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?
Who does this change apply to?
Overlap with the GIPS® standards
The New Marketing Rule: A Focus on Performance
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