Intricate Merchandise – Challenges of Advertising Investment Advice
December 2019
December 01, 2019
Tags: Advertising Rule, Columns, Guest Column
Private Fund Advisers and the Proposed Changes to the Advertising Rule
Private Fund Advisers and the Proposed Changes to the Advertising Rule By Benjamin Haskin, Partner, and Richard Jackson, Counsel, Willkie Farr & Gallagher LLP * January 1, 2020 Benjamin...
January 01, 2020
Tags: Advertising, Advertising Rule, Columns, Compliance Corner, Hedge Funds, Private Equity, Private Funds
Adviser Fined $1 Million for Misleading Private Fund Marketing Materials, Performance Information
Adviser Fined $1 Million for Misleading Private Fund Marketing Materials, Performance Information April 27, 2020 A Massachusetts-based investment adviser is paying $1 million to settle SEC charges of providing...
April 27, 2020
Tags: Advertising, Advertising Rule, Private Funds, SEC Enforcement
SEC Obtains $30 Million Judgment Against Adviser, Founder in Connection with Misleading Performance
SEC Obtains $30 Million Judgment Against Adviser, Founder in Connection with Misleading Performance June 10, 2020 A federal court has ordered a Nevada-based investment adviser to pay over $30...
June 10, 2020
IM Division Director Discusses E-Delivery, Increasing Public Access to Private Markets
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...
August 11, 2020
Tags: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management
Fall 2019 Regulatory Agendas Released; SEC Moves Accredited Investor to Short-Term Agenda, Adds Form 13F Filer Threshold November 27, 2019 Federal agencies recently released the Fall update to their...
November 27, 2019
Tags: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules
SEC Proposes Significant Overhaul of Advertising and Solicitation Rules November 25, 2019 In a move that is long overdue, the SEC has proposed a comprehensive overhaul of the rules...
November 25, 2019
Tags: Form ADV, Advertising Rule, Recordkeeping, Solicitation Rule, Webinars
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals February 11, 2020 The SEC’s Advertising Rule proposal represents a milestone for IAA advocacy and an important first step...
February 11, 2020
IAA Comments on SEC’s Advertising and Solicitation Proposals
IAA Comments on SEC’s Advertising and Solicitation Proposals Proposals an Important First Step, but Could Impose Significant Burdens February 19, 2020 The IAA has submitted a comment letter in...
February 19, 2020
At IAA Conference, SEC’s Lee Expresses Advertising Rule Concerns, Criticizes Proxy Proposals as “Opposite of Investor Empowerment” Updated March 9, 2020 Watch the Video In her keynote address at...
March 09, 2020
Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule