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Akin Gump Strauss Hauer & Feld LLP

“Round 2” of Marketing Rule Enforcement Actions — Focus on Hypothetical Performance

Akin Gump Strauss Hauer & Feld LLP on

On April 12, 2024, the U.S. Securities and Exchange Commission imposed fines and other sanctions on five registered investment advisers (RIAs) for violations of the Investment Adviser Marketing Rule (Rule 206(4)-1), which has...more

BCLP

SEC Enforcement Sweep Regarding Hypothetical Performance - Round 2

BCLP on

On April 12, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against five registered investment advisers for violations of Rule 206(4)-1 (the “Marketing Rule”) under the Investment...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Risk Alert Spells Out the Agency’s Expectations for Investment Advisers as New Marketing Rule Takes Effect

Skadden, Arps, Slate, Meagher & Flom LLP on

As we noted in the October 2022 edition of our Investment Management Update, on September 19, 2022, the U.S. Securities and Exchange Commission’s (SEC’s) Division of Examinations (Examinations) issued a risk alert to inform...more

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