Dalia Blass, Director of the SEC’s Division of Investment Management, recently gave a speech in which she focused on key past and future developments, and changes within the Division. She...
A Massachusetts-based investment adviser is paying $1 million to settle SEC charges of providing misleading marketing materials related to a private fund and failing to follow its compliance policies and...
Benjamin Haskin, Partner, Willkie Richard Jackson, Counsel, Willkie The Securities and Exchange Commission (the “SEC”) has proposed amendments to Rule 206(4)-1 (the “Advertising Rule”) under the Investment Advisers Act...
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