Tag: Marketing Rule
SEC Publishes 2023 Examination Priorities
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
February 09, 2023
Tags: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds
SEC Issues New Marketing Rule FAQ on Net Performance Requirements
SEC staff FAQ on displaying gross performance of one investment or a group of investments from a private fund under the Marketing Rule.
January 13, 2023
New Marketing Rule: Initial Exam Expectations
Advisers should be prepared for the first round of SEC examinations for compliance with the new marketing rule.
November 28, 2022
Tags: Marketing Rule, SEC Examinations
2022 IAA Compliance Workshops Takeaways – Focus on the Marketing Rule
SEC staff takeaways on Marketing Rule exams at 2022 IAA Compliance Workshops.
November 17, 2022
Tags: Examinations, IAA Compliance Workshops, Marketing Rule
SEC Compliance Outreach Program Scheduled for November 15
The SEC has scheduled a Compliance Outreach Program for advisers and funds on November 15, 2022.
September 22, 2022
Tags: Compliance, ESG, Fiduciary, Form CRS, Marketing Rule, Mutual Funds, Private Funds, SEC Examinations
SEC Marketing Rule Continues To Be Top Compliance Concern, Survey Shows
The 2022 Investment Management Compliance Testing Survey identified advertising/marketing, cybersecurity, and climate change/ESG as the top concerns for compliance officers.
June 30, 2022
Tags: Climate, Compliance Testing, Conflicts of Interest, Cybersecurity, Digital Assets, ESG, Fees and Expenses, Marketing Rule, Private Funds, Research, Survey, Valuation
Adviser Fined for Advertising Misleading Hypothetical Backtested Performance
The SEC fined an adviser for misleading ads that differed from its live strategy and for failing to have reasonably designed policies and procedures.
January 26, 2022
Tags: Advertising Rule, Hypothetical Performance, Marketing Rule
SEC Withdraws, Modifies No-Action Letters RE: Advertising, Cash Solicitation
As expected, the SEC is withdrawing certain staff no-action letters relating to the current Advisers Act Advertising and Cash Solicitation Rules.
November 12, 2021
Tags: Advertising Rule, Division of Investment Management, Marketing Rule, Solicitation Rule
New SEC Marketing Rule Now Top Compliance Concern, Survey Shows
Implementing the SEC’s new Marketing Rule for Investment Advisers is the number one worry for investment adviser compliance officers, according to the 2021 Investment Adviser Compliance Testing Survey.
September 07, 2021
Tags: Compliance, Marketing Rule
Federal Agencies Release Spring 2021 Regulatory Agendas
Federal agencies recently released the spring 2021 update to their regulatory agendas. These agendas are the first issued under the Biden Administration and reflect this administration’s policy priorities.
June 16, 2021
Tags: Accredited Investor, CFTC, Custody, DOL, ESG, Marketing Rule, Money Market Fund, Proxy Voting, Regulatory Agendas, SEC Investment Management
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