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Venture Capital Fund Managers' Guide to Applying the Latest Marketing Rule Risk Alert | Cooley LLP

Venture Capital Fund Managers' Guide to Applying the Latest Marketing Rule Risk Alert | Cooley LLP
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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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SEC risk alert warns investment advisers of marketing rule missteps

SEC risk alert warns investment advisers of marketing rule missteps
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SEC Examiners Find Firms Making Untrue Statements in Ads

The latest risk alert from the SEC concerning the marketing rule is finding some firms are continuing to make "untrue" statements in ads.

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Investment Management Legal And Regulatory Update - April 2024 - Financial Services

The SEC announced on February 28, 2024 that William Birdthistle, the Director of the Division of Investment Management, would leave the SEC effective March 8, 2024...

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Securities And Exchange Commission Brings First Enforcement Actions Over

On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.

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The SEC Limits The Internet Adviser Exemption - Securities

On 27 March 2024, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to Rule 203A-2(e) under the Investment Advisers Act of 1940 (Advisers Act).

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SEC Issues Risk Alert on Compliance Initial Observations

SEC Issues Risk Alert on Compliance Initial Observations
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SEC.gov | SEC Charges Five Investment Advisers for Marketing Rule Violations

SEC.gov | SEC Charges Five Investment Advisers for Marketing Rule Violations
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A Tale Of Two Regulators: The SEC And FCA Address AI Regulation For Private Funds - Securities

2023's excitement for generative artificial intelligence (AI) prompted the SEC to respond on multiple fronts – stump speeches, rulemaking, new exam priorities...

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