Brian Rafferty

Brian Rafferty

Akin Gump Strauss Hauer & Feld LLP

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New EXAMS Guidance – Next Steps for Private Fund Managers

On June 8, 2023, the SEC Division of Examinations staff (EXAMS) published a risk alert focused on the new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940). While this new risk alert largely mirrors...more

6/19/2023  /  Advertising , Investment Adviser , Investment Advisers Act of 1940 , Investors , Marketing , New Rules , Policies and Procedures , Private Funds , Securities and Exchange Commission (SEC)
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