On September 9, the U.S. Securities and Exchange Commission (SEC) announced another series of settlements with registered investment advisers for violations of Rule 206(4)-1, as amended (Marketing Rule), under the Investment...more
10/17/2024
/ Advertising ,
Disclosure Requirements ,
Endorsements ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Policies and Procedures ,
Popular ,
Ratings ,
Securities and Exchange Commission (SEC) ,
Statement of Facts ,
Testimonial Statements ,
Third-Party
On September 5, the U.S. Securities and Exchange Commission (SEC) announced enforcement actions against five investment advisers for violating Rule 206(4)-2 (the Custody Rule) and Rule 204-1(a) (the ADV Reporting Rule) of the...more
10/19/2023
/ Audited Financial Statements ,
Client Funds ,
Custodians ,
Custody Rule ,
Enforcement Actions ,
Form ADV ,
GAAP ,
Investment Advisers Act of 1940 ,
Marketing ,
PCAOB ,
Performance Standards ,
Registered Investment Advisors ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)