Advertising Guide Helps RIAs Stay Compliant

A publication from Dechert LLP and RR Donnelley addresses advertising by registered investment advisers (RIAs) so they can keep compliant.

“A Guide to Advertising by Registered Investment Companies and Registered Investment Advisers,” written by Dechert’s financial services group, covers thebasics as well as recent developments, and is intended to assist legal and marketing professionals at RIAs in navigating the myriad legal requirements involved in preparing compliant advertisements.

Topics include fund advertising, rules by FINRA (the Financial Industry Regulatory Authority), advertising past performance and global investment performance standards.  

In conjunction with the guide’s release, RR Donnelley and Dechert will co-host a webinar on June 10 addressing related topics such as social media, CFTC/NFA regulations, JOBS Act implications for private funds and new FINRA Rules governing communications. Registration for the webinar is at R.R. Donnelley’s website. The guide is also available at R.R. Donnelley’s site.