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ArentFox Schiff

New SEC Guidance on Marketing Rule: Ensuring Compliance in Advertisement and Marketing Material for Investment Advisors 2024

ArentFox Schiff on

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

Vinson & Elkins LLP

What’s In A Name? The SEC Notes A Lack Of Consistency In ESG Treatment Across Investments And Funds

Vinson & Elkins LLP on

On April 9, the Division of Examinations issued a Risk Alert to highlight observations from its recent exams of investment advisers, registered investment companies, and private funds offering ESG products and services. The...more

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