On January 11, 2023, the SEC Staff published a question-and-answer in its Marketing Compliance FAQs that addresses whether an advertisement that includes gross performance information for a single investment (or group of...more
On October 26, the SEC proposed a new Advisers Act rule (the “Proposed Rule”) that would establish specific obligations for Registered Investment Advisers with respect to outsourcing of “Covered Functions”, as that term is...more
12/13/2022
/ Client Services ,
Compliance ,
Cybersecurity ,
Due Diligence ,
Policies and Procedures ,
Popular ,
Pricing ,
Proposed Rules ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Valuation ,
Written Agreements
In late 2020, the SEC adopted1 rule amendments that require SECregistered investment advisers to, by November 4, 2022, switch their compliance regimes from the SEC’s current Advertising and Cash Solicitation Rules (Rules...more
3/23/2022
/ Advertising ,
Cash Solicitation Rule ,
Cherry Picking ,
Compliance ,
Disclosure Requirements ,
Endorsements ,
Investment Adviser ,
Marketing ,
New Rules ,
Private Funds ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Social Media