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On December 22, 2020, the US Securities and Exchange Commission (SEC) adapted the rules that govern investment advisor advertisements and payments to solicitors. The amendments...
On September 19, 2022, the Securities and Exchange Commission (the "SEC") increased its pressure on private funds and their need to get into full compliance with the new Marketing Rule...
On September 19, 2022, the Securities and Exchange Commission (the "SEC") increased its pressure on private funds and their need to get into full compliance with the new Marketing Rule...
SEC originally published the new marketing rule by November 4, 2022. They sent out a risk alert titled, Examinations Focused on the New Investment Adviser Marketing Rule announcing intentions to begin investigations and enforcement of the new marketing rule immediately.