Grace Nealon

Grace Nealon

Seward & Kissel LLP

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The New Investment Adviser Marketing Rule: Implications for CLO Managers and Arrangers

On December 20, 2020, the SEC adopted reforms under the Advisers Act which modernized rules that govern investment adviser advertising and payments to solicitors. On September 19, 2022, the SEC Division of Examinations...more

10/25/2022  /  Collateralized Loan Obligations , Compliance , Disclosure Requirements , Endorsements , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Risk Alert , Securities and Exchange Commission (SEC) , Testimonial Statements
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