SEC Issues Marketing Rule Risk Alert
The Risk Alert discusses the SEC staff’s observations from examinations of investment advisers for compliance with the Marketing Rule.
April 19, 2024
Your Search Results
SEC Charges Five Private Fund Advisers with Custody Rule and Form ADV Violations
The SEC charged five private fund advisers with custody and Form ADV deficiencies.
September 07, 2023
SEC Charges Nine Private Fund Advisers with Custody, Form ADV Rule Violations
The SEC charged nine private fund advisers with custody and Form ADV deficiencies.
September 19, 2022
SEC Proposes Cybersecurity, Private Fund Adviser Rules
The SEC has issued three rulemaking proposals – on cybersecurity, private fund advisers, and shortening the settlement cycle – that will have major implications for investment advisers.
February 09, 2022
The SEC is charging the firm with violating antifraud provisions and the Advisers Act Compliance Program Rule.
October 05, 2020
The SEC’s Divisions of Investment Management and Trading and Markets have issued a statement providing no-action relief from failure to deliver certain international adviser and fund communications.
June 25, 2020
SEC’s IAC Discusses Index Funds, ESG, Disclosures and Credit Rating Agencies
Discussions on index funds and credit rating agencies – and recommendations on ESG disclosure and disclosure effectiveness more generally – dominated the May 21 meeting of the SEC’s Investor Advisory Committee (IAC).
June 03, 2020
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules addressing investment adviser advertisements and payments to solicitors.
November 25, 2019