SEC related account performance: Understanding your options

Unlock the key to successfully navigating the intricate world of SEC regulations surrounding the marketing of performance history.

Join us on June 13 at 2:00 p.m. EDT with our guest, Cascade Compliance, for an insightful discussion on the strategic insights and regulatory nuances essential for effectively promoting your composite performance within the bounds of SEC guidelines.

During this webinar, we will equip you with a comprehensive understanding of the actionable steps needed to comply with the SEC marketing rule and the latest enforcement actions and risk alerts issued in April 2024.

Attendees will:

• Gain valuable knowledge on how to overcome ongoing challenges and adopt best practices for delineating Related Account/Composite groups.
• Understand the intricacies of determining the optimal number of Related Account/Composite groups for your firm.
• Discover strategies for managing temporary and ongoing individual account exceptions and outliers.
• Benefit from expert insights on leveraging the powerful composite functionality in Clearwater.
• Learn the importance of presenting performance-related statistics in a net-of-fees manner.
• Gain practical guidance on how compliance professionals can effectively test a firm’s adherence to related account group compliance.

Don’t miss out on this opportunity to expand your knowledge on the related account performance requirements for SEC-registered advisors so you can effectively advertise composite performance. RSVP today!