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Less than one year after the implementation deadline of the SEC’s amendments to Advisers Act Rule 206(4)-1 (the Marketing Rule), the SEC announced a series of enforcement actions...
Those financial services firms and issuers preparing for SEC examinations should understand the focus the agency is placing on ESG issues.
The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers...
On November 4, all registered investment advisers will be required to be in compliance with the U.S. Securities and Exchange Commission's (SEC) new Marketing Rule,[1] promulgated under the Investment Advisers Act of 1940.
On September 19, 2022, the Division of Examinations ("EXAMS") of the Securities and Exchange Commission ("SEC") released a Risk Alert ("Risk Alert")[1] relating to the new investment adviser...