SEC Marketing Rules: Insights from an SEC Expert

Show notes

In November 2022, the SEC issued new rules that dictate how firms can market hypothetical performance, case studies, testimonials, and other promotional materials. In this month’s episode of SS&C Advent’s Tech It Up podcast , Bree Pollard, Director at the ACA Group , shares practical advice on navigating the 2023 SEC Exam Priorities. The conversation explores:

What the common mistakes are when marketing hypothetical performance
Where firms should focus their time and resources
How to share investment strategy performance

Join hosts, Join Trent Berry, and Jasmin Conner for an in-depth conversation with real-world applications.

Hosts

Trent Berry

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Jasmin Conner

Guests

Breanna Pollard

Breanna Pollard is a Director with ACA Performance Services, a division of ACA Group, where she manages client relationships and serves as the technical lead and a subject matter expert in the completion of periodic verifications of investment management firms’ adherence to the Global Investment Performance Standards (GIPS®), and other performance-related service offerings such as focused performance reviews and performance consulting on the SE Marketing Rule and FINRA RN 20-21. Breanna earned her Bachelor of Science degree in Public Accounting and earned her Juris Doctor of Law from the University of Oregon School of Law.

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Tech It Up