Tag: Advertising Rule
SEC Examination Office Issues Risk Alert on Multiple Branch Offices
OCIE has issued a Risk Alert regarding staff observations from examinations of investment advisers operating from multiple branch offices.
November 12, 2020
Tags: Advertising Rule, Branch Office Supervision, Code of Ethics, Custody
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.
August 11, 2020
Tags: Advertising Rule, AMAC, Coronavirus, COVID-19, Dalia Blass, E-Delivery, Electronic Delivery, Private Funds, SEC Investment Management
SEC Obtains $30 Million Judgment Against Adviser, Founder in Connection with Misleading Performance
A federal court has ordered a Nevada-based investment adviser to pay over $30 million.
June 10, 2020
Adviser Fined $1 Million for Misleading Private Fund Marketing Materials, Performance Information
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 procedures.
April 27, 2020
Tags: Advertising, Advertising Rule, Private Funds, SEC Enforcement
Lee said that while she broadly supports the agency’s proposed modernization of the Advertising Rule, she is concerned that some elements of the proposal may be too vague and could lead to uncertainty among compliance professionals.
March 09, 2020
Tags: Advertising Rule, Allison Herren Lee, Compliance Conference, Proxy Advisory Firms, Proxy Rule
IAA Comments on SEC’s Advertising and Solicitation Proposals
The IAA has submitted a comment letter in response to the SEC’s proposed amendments to the rules addressing investment adviser advertisements and payments to solicitors.
February 19, 2020
IAA Submits Comment Letter on SEC’s Advertising and Solicitation Proposals
The IAA notes that the proposal addresses many themes and issues the IAA has raised over the past 20 years, especially those relating to the benefits of a principles-based approach to regulation.
February 11, 2020
Private Fund Advisers and the Proposed Changes to the Advertising Rule
The proposed amendments, if adopted, would make significant changes to the Advertising Rule affecting private fund managers, including managers of hedge funds and private equity funds.
January 01, 2020
Tags: Advertising, Advertising Rule, Columns, Compliance Corner, Hedge Funds, Private Equity, Private Funds
Intricate Merchandise – Challenges of Advertising Investment Advice
Understanding the past is key to understanding the present and future. To set the foundation for issues and policy objectives the SEC is grappling with, a historical retrospective and examples of pressure points are instructive.
December 01, 2019
Tags: Advertising Rule, Columns, Guest Column
Federal agencies recently released the Fall update to their regulatory agendas.
November 27, 2019
Tags: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas
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