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Troutman Pepper Locke

Legal Filing Services Provider Agrees to Pay $95,000 in Refunds to Resolve Colorado AG’s Allegations Regarding Deceptive...

Troutman Pepper Locke on

Compliance Services Colorado, Inc. (CSC) and Colorado Compliance Services, LLC (CCS) (collectively, the parties) recently entered into an Assurance of Discontinuance (AOD) with Colorado Attorney General (AG) Phil Weiser to...more

Proskauer - The Capital Commitment

Complying with the New SEC Marketing Rule: Seven Months in and Still Adapting

On November 4, 2022, compliance with amended Rule 206(4)-1 (the “Marketing Rule”) became mandatory for all investment advisers registered with the Securities and Exchange Commission (the “SEC”). Seven months since the...more

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