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

Published: 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...

Source: jdsupra.com

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

Published: 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.

Source: mondaq.com

The BR Privacy & Security Download: March 2023 | Blank Rome LLP

Published: March 3, 2023

Welcome to this month's issue of The BR Privacy & Security Download, the digital newsletter of Blank Rome’s Privacy, Security & Data Protection practice.

Source: jdsupra.com