Yvette Yun

Yvette Yun

Lowenstein Sandler LLP

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SEC Issues Additional Guidance on Investment Adviser Examinations and Compliance With the Marketing Rule

The Securities and Exchange Commission (SEC) routinely prepares Risk Alerts to provide helpful information to federally registered investment advisors (advisers). On June 8, the SEC released a Risk Alert that described...more

6/22/2023  /  Disclosure Requirements , Investment Adviser , Investment Advisers Act of 1940 , Private Funds , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC) , Third-Party , Written Agreements
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