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Marketing Investment Adviser Investment Funds

Morgan Lewis

SEC Staff Issues Updated Marketing Rule FAQs

Morgan Lewis on

SEC Staff published new guidance providing private fund managers and other investment advisers with flexibility to use extracted performance and portfolio/investment characteristics in marketing materials, without cumbersome...more

Royer Cooper Cohen Braunfeld LLC

SEC’s 2025 Examination Priorities

On November 21, 2024, the Securities and Exchange Commission (SEC) released its examination priorities for 2025. The release offers critical insights into the areas that the SEC will focus on....more

Paul Hastings LLP

SEC Issues Updated FAQ on Marketing Rule

Paul Hastings LLP on

Recently published guidance by the SEC staff from the Division of Investment Management (the “Staff”) is likely to have a significant impact on marketing materials prepared by investment advisers marketing new private funds....more

K&L Gates LLP

The SEC's Modernized Marketing Rule for Investment Advisers

K&L Gates LLP on

On 22 December 2020, the U.S. Securities and Exchange Commission (SEC) adopted amendments (the final rule) to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the Advisers Act) to modernize the regulation of...more

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