View a recording of this webinar here.
On December 22, 2020, the SEC adopted amendments to update and combine the rules governing investment adviser advertising and cash solicitation into a single rule (the “Marketing Rule”). Investment advisers have until November 4, 2022 to comply with the provisions of the Marketing Rule.
In this session of our quarterly FUNDamentals series, we will explore the Marketing Rule and identify key considerations for investment advisers as the November compliance date approaches.
Learning Objectives
After completing this course, the participant will understand:
- The primary components of and principles behind the new Marketing Rule
- Potential next steps to ensure compliance with the new rule within your organization
Agenda:
Thursday, July 28, 2022
8:00-9:00 a.m. MDT
Speakers:
Amy Bowler
Amy advises both private and public companies regarding securities compliance, corporate governance, and financing matters. She advises investment fund managers regarding compliance with the Investment Advisers Act and provides general guidance for strategic fund investments.
Ryan Nichols
Ryan advises private investment funds, their sponsors, and investors in connection with the formation, operation, and regulation of funds and with respect to investment management and strategic joint venture transactions.
Cris Wilcoxon
Cris counsels clients in business formation and financing, mergers and acquisitions, and general corporate transactions. She provides pragmatic solutions to companies at all stages of the corporate life cycle from entity selection and formation to financing and capitalization.
CLE & CPE Information:
1.0 CPE credit recommended in Specialized Knowledge.
1.0 CLE credit pending for the State of Colorado.
Target Audience: Fund managers and investment advisers registered or required to be registered with the SEC.
Delivery Method: Group internet-based
Program Level: Intermediate
Prerequisites and Preparation: None
Cost: No fee
Holland & Hart is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.
For information regarding concerns and program cancellation policies, please contact our offices at 303.295.8148.
Questions? Please contact Lisa Adelberg .