ComplianceCast: Advertising & Marketing Compliance

Have questions on Advertising and Marketing Compliance?

Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics & Reviewing Tips for compliance professionals.

This complimentary ComplianceCast covers the following topics:

  • Investment Adviser Advertising Rules and No-Action Guidance
  • Performance Advertising – General Requirements, Model Performance & Hypothetical Back-tested Performance
  • Use of Third-Party Performance in Advertising – Disclosures & Caveats
  • Considerations for Different Types of Media
  • Anatomy of Reviewing Advertising Materials – Illustration of the Review Process & Key Considerations

For a free download, click here and fill out the download request form.


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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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