The US Securities and Exchange Commission (SEC) recently released two new sources of guidance for the Marketing Rule. On February 26, the SEC Division of Investment Management released an FAQ clarifying how to include gross...more
6/17/2024
/ Advertising ,
Books & Records ,
Compliance ,
Documentation ,
Fiduciary Duty ,
Investment Adviser ,
Marketing ,
Misleading Statements ,
Securities and Exchange Commission (SEC) ,
Social Media ,
Surveys
The DOE previously announced it would prioritize the following areas during examinations: The DOE will continue to focus on these areas, as well as the dissemination of advertisements that violate certain general...more
On December 22, 2020, the US Securities and Exchange Commission (SEC) adapted the rules that govern investment advisor advertisements and payments to solicitors. The amendments consolidated the previous advertising and cash...more