The Latest on the Marketing Rule

21 Apr 2023 12:00 - 13:00 EST


Discover how your peers are disclosing information to LPs, planning to show fees and expenses, and calculating net performance. Discussion topics will include:

→ How does your firm conduct compliance-related due diligence on potential vendors?

→ What is the meaning of recent risk alerts, enforcement actions, exam lists?

To help navigate to relevant bits of the session, I’ve added timings to the key takeaways below.

  • The rule is “designed to prevent deceptive statements. To establish a violation the SEC only needs to show negligence, broad discretion.” (07:00)
  • “You now have to be able to substantiate when the SEC examines you, you need documentation” (11:10)
  • “The SEC are asking for particular claims, picking particular claims on websites, and asking for substantiation” (24:06)
  • It is critical to demonstrate a good training program that reminds staff what the rules are, as well as running detail past legal and compliance  (47:32)
  • “if you change vendors or methodology it can trigger a lot of extra attention especially if it results in a higher valuation… a lot of times they look back in regard to disposition price” (48:53)

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Panel discussion, Q&A


On the record.


1 Hour


Join an experienced panel of leaders and innovators who have been briefed to pick the topic apart and put it back together again.
Your expert faculty includes:

Matt Cohen


Matt Cohen


Kirkland & Ellis

Duvall, Nick


Nick Duvall

Vice President Legal & Compliance


Jana Nawrocki, Senior Vice President and Chief Compliance Officer, GID


Jana Nawrocki

Senior Vice President and Chief Compliance Officer


Rob Van Grover


Rob Van Grover


Seward & Kissel

Myers.OldProfile.Harnik (003)


Bill Myers


Regulatory Compliance Watch

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