Michael Wheatley

Michael Wheatley

Paul Hastings LLP

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SEC Enforcement Continues Thematic Focus on Hypothetical Performance

The SEC charged five more registered investment advisers with violating the Investment Advisers Act’s Marketing Rule by advertising hypothetical performance on their websites without adopting appropriate policies and...more

4/17/2024  /  Enforcement Actions , Financial Adviser , Investment Adviser , Marketing , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Securities Violations
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