Ready for the New Marketing Rule? Use this Comprehensive Compliance Checklist

The Securities and Exchange Commission (SEC) adopted a new marketing rule that will significantly impact the advertising and solicitation practices of SEC-registered investment advisers that sponsor private funds. The marketing rule modernizes the regulatory regime governing investment adviser marketing practices and revises standards that investment advisers have been operating under for decades. Compliance with the marketing rule will require significant changes to investment advisers' marketing practices, including use of testimonials, endorsements, or third-party ratings, and investment advisers' use of performance information. This compliance checklist is intended to serve as a helpful guide for legal and compliance personnel responsible for developing compliant policies, procedures, and systems that account for these sweeping changes.

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Related Content

• Implications of the New SEC Marketing Rule for Private Fund Sponsors
  Read this explanation of the benefits and burdens of the new rule that provides an in-depth analysis of what the rule will mean for fund sponsors and an examination of how the rule will affect sponsors’ fundraising and related activities.
• Marketing Materials Review for Fund Managers
  Consult this practice note giving an overview of the marketing process and the operational and legal considerations fund sponsors face when preparing fund marketing materials.
• Non-U.S. Private Equity Funds: Marketing in the United States
  Review this practice note that contains high-level overviews of relevant securities laws, commodities regulation, pension plan regulation under ERISA, and federal income tax matters.

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