Advertising and Regulatory Examinations: What CPA Financial Planners Need to Know
Originally aired on 6/19/13
| Presentation materials
The Securities and Exchange Commission (SEC) and the state securities regulators plan to take a close look at potential conflicts of interest in the practices of registered investment advisers that its examiners oversee, and will ramp up scrutiny of the marketing and performance claims of those advisers.
In this web seminar, Ellen Bruno will lead practitioners through a discussion of critical regulatory and compliance issues, including:
- What to expect from regulatory examinations, including jurisdiction, frequency and timing, preparation and outcomes; and
- Best practices and “dos and don’ts” for advertising and social media.