John Budetti

John Budetti

Paul Hastings LLP

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SEC Enforcement Continues Thematic Focus on Hypothetical Performance

The SEC charged five more registered investment advisers with violating the Investment Advisers Act’s Marketing Rule by advertising hypothetical performance on their websites without adopting appropriate policies and...more

4/17/2024  /  Enforcement Actions , Financial Adviser , Investment Adviser , Marketing , Registered Investment Advisors , Securities and Exchange Commission (SEC) , Securities Violations

Investment Funds & Private Capital Market Insights: SEC Charges Nine Investment Advisers for Advertising Hypothetical Performance...

On September 11, 2023 the SEC announced settlements with nine registered investment advisers (the “Advisers”) for alleged violations of the Investment Advisers Act’s new marketing rule (Rule 206(4)-1, available here, the...more

9/13/2023  /  Advertising , Censures , Enforcement Actions , Investment Adviser , Investment Advisers Act of 1940 , Marketing , Performance Reviews , Policies and Procedures , Securities and Exchange Commission (SEC) , Websites
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