Three Ways Investment Advisers Can Market with Compliance in Mind

In September 2017, the SEC’s Office of Compliance, Inspections and Examinations issued a Risk Alert making clear that the SEC is paying increased attention to the advertising practices of investment advisers.  The Alert summarizes the most frequent Advertising Rule violations that OCIE comes across in its examinations of investment advisers and evidences a growing concern by the SEC that investment advisers are regularly violating the rule. Although advertising as an investment adviser can be tricky, in our experience when attorneys, marketing professionals and investment advisers work together closely, advisers can reach potential and existing clients with clear, powerful and compliant communications.  For more information, please click here for a piece we are excited to have co-authored with Longview Strategies, a communications firm with a focus on professional and financial services firms and a passion for sustainable, responsible, impact investing.


For further information about these matters, please contact Lauren Caplan at or 617-502-6285.


This document, which may be considered advertising under the ethical rules of certain jurisdictions, is provided with the understanding that it does not constitute the rendering of legal advice or other professional advice by Klavens Law Group, P.C. or its attorneys. Please seek the services of a competent professional if you need legal or other professional assistance.

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