In an article published on Aug. 11, 2016 by InvestmentNews, Brian Farmer and Brian Daly provide guidance to registered investment advisors that are dealing with the fine lines of advertisements. “Each RIA must carefully review its advertising materials to ensure compliance with specific SEC mandates and to avoid distributing advertisements that contain untrue statements of material fact or are otherwise false or misleading,” explains Farmer and Daly. “Failure to follow the applicable rules can turn an RIA's efforts to develop new business into a public enforcement action likely to have the opposite effect.” For the full article, you may click here.
Stephanie A. Hood