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SEC Compliance Consultants, Inc. (SEC³)

SEC Tells Advisers What Not to Do in Advertisements

SEC’s Division of Examinations (“EXAMS”) issued a risk alert on its Initial Observations Regarding Advisers Act Marketing Rule Compliance (the “Risk Alert”), giving compliance officers an unexpected gift by sharing examples...more

American Conference Institute (ACI)

[Event] 8th Advanced Summit on Food Law - April 30th - May 1st, Chicago, IL

Attend ACI’s 8th Advanced Summit on Food Law – Regulation, Compliance and Litigation and obtain the tools and techniques you need to meet the legal and regulatory challenges which the food industry is now facing as well as...more

Morrison & Foerster LLP

Marketing Rule Implementation – Are You Ready for November 4th?

The compliance date for the SEC’s new investment adviser Marketing Rule is November 4, 2022, allowing just over a month for an investment adviser to finalize its implementation process to comply with the Rule, which applies...more

American Conference Institute (ACI)

[Virtual Conference] 28th Annual Advertising & Marketing Law - January 18th - 19th, 8:45 am - 1:30 pm EST

Delve into critical legal and regulatory developments with the Canadian Institute’s 28th Annual Advertising & Marketing Law conference taking place virtually on January 18 – 19, 2022 (EST). This is Canada’s most comprehensive...more

BakerHostetler

The Empire State Strikes Back: New York Proposes Rules for Virtual Currency

BakerHostetler on

The New York State Department of Financial Services (the “Department”) recently published its proposed rules and regulations (the “Proposed Rules”) for vendors conducting business involving virtual currency. The Proposed...more

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