On November 4, 2019, the Securities and Exchange Commission (SEC) released a proposed rule amendment (the Marketing Amendment) that would substantially modify SEC Rules 206(4)-1 (the Advertising Rule) and 206(4)-3 (the...more
11/21/2019
/ Advertising ,
Books & Records ,
Comment Period ,
Compensation ,
Conflicts of Interest ,
Disclosure Requirements ,
Endorsements ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Marketing ,
Policies and Procedures ,
Private Funds ,
Proposed Rules ,
Recordkeeping Requirements ,
Regulatory Requirements ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Testimonial Statements ,
Written Agreements
At an open meeting held on August 21, 2019 (the “Meeting”), the Commissioners of the Securities and Exchange Commission (SEC) issued guidance (the “Guidance”), by a 3-2 vote, to assist investment advisers when conducting...more
8/30/2019
/ Corporate Governance ,
Fiduciary Duty ,
Investment Adviser ,
Investment Management ,
New Guidance ,
Proxy Advisors ,
Proxy Advisory Firms ,
Proxy Voting Guidelines ,
Regulatory Oversight ,
Rulemaking Process ,
Securities and Exchange Commission (SEC)