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Event Registration - Advertising and Testimonials—New SEC Marketing Rule, New Frontiers for Advisor Marketing
Wednesday, April 28, 2021
12:00 PM - 1:00 PM Eastern Daylight Time
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Advertising and Testimonials—New SEC Marketing Rule, New Frontiers for Advisor Marketing
The SEC has finalized important rules changes governing how advisors can use advertising, testimonials, and third-party ratings to market their services. The new rules are the first major update in nearly 60 years and are designed to reflect changes in technology and expectations of investors seeking advisory services, as well as evolving industry practices. Together, they represent a new frontier for advisor marketing.
Please join us for an overview of the new SEC’s Marketing Rule. Take this opportunity to learn about its provisions, the important implementation timetable, and its likely impact on your firm. Also, come share your perspective and hear from others on how they are addressing these rules changes.
Michael S. Caccese
, Chairman, Practice Area Leader – Asset Management and Investment Funds K&L Gates LLP
Michael Caccese is K&L Gates' chairman and also serves as practice area leader of the asset management and investment funds practice. K&L Gates maintains one of the most prominent asset management and investment funds practices in the United States – with more than 150 lawyers practicing from Asia, Australia, Europe and the United States, representing diversified financial services institutions and their affiliated service providers. Michael focuses his practice in the areas of investment management, including mutual funds, closed-end funds, registered fund of hedge funds, hedge funds and separately managed accounts, in addition to advising on investment management and broker-dealer regulatory compliance. Michael also advises on structuring investment management professional team “lift-outs” and “placement”, “soft dollar” compliance, investment performance and the Global Investment Performance Standards (GIPS). He is also leading practitioner on investment advisor and broker dealer advertisement and marketing materials, laws and regulations and investment performance calculations and presentations, along with other investment management industry standards of practice.
Michael has held various licenses over his career including Series 7, 14, 24, and 63, and has served as a compliance officer for NYSE and NASD broker-dealers. In addition, he has provided regulatory compliance advice for SEC registered investment advisors and CFTC registered commodity-trading advisors.
Michael has been recognized by various legal directories such as Best Lawyers, Chambers, Intercontinental Finance Magazine Leading Lawyers, Legal 500 and The International Who's Who of Private Funds Lawyers as a leading practitioner in the investment management/broker-dealer area. He is also a two-time recipient of the BTI Client Service All-Star Award from the BTI Consulting Group, Inc., one of the country's most independent and respected business research companies. BTI compiled its Client Service All-Star list based on interviews with more than 200 corporate counsel at large and Fortune 1000 companies. During these interviews, BTI asked corporate counsel to name individual attorneys who they believe truly deliver client service better than all others. Michael has also been selected by his peers for inclusion in The Best Lawyers in America© since 2014 in the field of Mutual Funds Law.
, CFA, Partner K&L Gates LLP
Michael McGrath is an Asset Management and Investment Funds partner based in the Boston office. His practice focuses on counseling global asset managers across a broad spectrum of asset classes in the formation and operation of investment funds, regulatory compliance, and securities and commodities law.
Michael has extensive experience advising clients with respect to the formation and operation of private equity funds, hedge funds, real estate funds, credit funds, separate accounts, and mutual funds. He frequently helps clients navigate the regulatory and structuring challenges associated with developing novel investment products, implementing strategic transactions, and arranging joint ventures and seed investments.
Michael also maintains an active practice assisting investment advisers, broker-dealers, and commodity trading advisers with respect to regulatory compliance and examinations. In this respect, he helps clients design and implement compliance programs, and satisfy U.S. and cross-border regulatory requirements related to registration, securities and derivatives trading, and control of nonpublic information, and derivatives trading. He regularly advises investment managers and broker-dealers on marketing and advertising issues, including the Global Investment Performance Standards (GIPS®).
Michael is a frequent author and speaker on the practical implementation of securities laws in the asset management industry. He is a CFA charterholder, and a member of the CFA Institute's U.S. Investment Performance Committee.
Members | Complimentary
Non Members | Complimentary
Professional Learning Credits
CFA Boston has determined that this event qualifies for 1 PL credit hour under the guidelines of CFA Institute's Professional Learning Program. If you are a CFA Institute member and a CFA Society Boston member, PL credit for your participation in this event will be automatically recorded in your PL tracking tool. Otherwise, you may upload 1 PL credit to your CFA Institute account in the PL tracking tool.
Members can register by logging into their Boston specific account. Non-members and CFA Society Global members must create an account, or log into their Boston specific account, to register for this program. Zoom details will be sent following registration. If you do not receive a confirmation email, please ensure you have completed the entire checkout process.
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