Advertising: Advisers, Broker-Dealers, and Funds

Please join us for an overview of advertising for advisers, broker-dealers and funds.

• Who is my regulator?
• What is the product/service?
• What is an advertisement: Advisers
• What you can and cannot say: Advisers
• Rules Applicable to Broker-Dealers
• Who is the Customer?
• Approval, Review and Recordkeeping/Filing Requirements
• Registered Funds/Private Funds

Questions? Please contact Bernice Kyereme.