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SEC Marketing Rule Enforcement Actions Emphasize Need for Policies and Procedures Regarding the Use of Hypothetical Performance | Goodwin

September 26, 2023
The US Securities and Exchange Commission (the SEC) announced on September 11, 2023, that it had settled with nine SEC-registered investment advisers (the Advisers) over alleged...
Gurbirs Grewal Exchange Commission Division Of Enforcement Investment Advisers Act Marketing Rule Marketing Rule Violations Results
Source: jdsupra.com

SEC Marketing Rule Enforcement Actions Emphasize Need For Policies And Procedures Regarding The Use Of Hypothetical Performance - Securities

September 22, 2023
The US Securities and Exchange Commission (the SEC) announced on September 11, 2023, that it had settled with nine SEC-registered investment advisers (the Advisers) over alleged violations of Rule 206(4)-1 under the Investment Advisers Act.
Division Of Enforcement Exchange Commission Investment Advisers Act Marketing Rule Marketing Rule Violations Results Charges Against Nine Investment
Source: mondaq.com

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