On September 9, the U.S. Securities and Exchange Commission (SEC) announced another series of settlements with registered investment advisers for violations of Rule 206(4)-1, as amended (Marketing Rule), under the Investment...more
10/17/2024
/ Advertising ,
Disclosure Requirements ,
Endorsements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Policies and Procedures ,
Popular ,
Ratings ,
Securities and Exchange Commission (SEC) ,
Statement of Facts ,
Testimonial Statements ,
Third-Party
On February 8, 2024, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) (together, the Commissions) jointly adopted additional amendments to Form PF, the confidential form by...more
On September 5, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five investment advisers for violating Rule 206(4)-2 (the Custody Rule) and Rule 204-1(a) (the ADV Reporting Rule) of the...more
10/19/2023
/ Audited Financial Statements ,
Client Funds ,
Custodians ,
Custody Rule ,
Enforcement Actions ,
Form ADV ,
GAAP ,
Investment Advisers Act of 1940 ,
Marketing ,
PCAOB ,
Performance Standards ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)