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Marketing Investment Management

SEC Compliance Consultants, Inc. (SEC³)

Regulatory Roundup for June 2024

Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more

Akin Gump Strauss Hauer & Feld LLP

“Round 2” of Marketing Rule Enforcement Actions — Focus on Hypothetical Performance

On April 12, 2024, the U.S. Securities and Exchange Commission imposed fines and other sanctions on five registered investment advisers (RIAs) for violations of the Investment Adviser Marketing Rule (Rule 206(4)-1), which has...more

BCLP

SEC Enforcement Sweep Regarding Hypothetical Performance - Round 2

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On April 12, 2024, the U.S. Securities and Exchange Commission (the “SEC”) announced settled charges against five registered investment advisers for violations of Rule 206(4)-1 (the “Marketing Rule”) under the Investment...more

White & Case LLP

Dubai Launches Virtual Assets Licensing Regime: An Overview of the VARA Licensing Process

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The Dubai Virtual Assets Regulatory Authority (VARA) has officially launched its highly anticipated licensing framework for virtual asset service providers (VASPs), ushering in a new era of regulatory oversight for virtual...more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

SEC Division of Investment Management Staff Releases Updated FAQ Regarding Marketing Rule Compliance

On January 11, 2023, the staff of the SEC’s Division of Investment Management (the “Division Staff”) updated its list of frequently asked questions (“FAQs”) related to amended Rule 206(4)-1 (the “Marketing Rule”) under the...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Risk Alert Spells Out the Agency’s Expectations for Investment Advisers as New Marketing Rule Takes Effect

As we noted in the October 2022 edition of our Investment Management Update, on September 19, 2022, the U.S. Securities and Exchange Commission’s (SEC’s) Division of Examinations (Examinations) issued a risk alert to inform...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

Firesign | Enlightened Legal Marketing

Law Firm Logos: Four Key Considerations

Few marketing projects pack the punch of a logo design or redesign: Your firm’s logo is the primary visual messenger of your brand, appearing on materials ranging from court filings to Koozies. It’s imperative that a...more

Akin Gump Strauss Hauer & Feld LLP

Reminder to Managers of New Fund Marketing Rules in the EU

1. Overview The new rules on the promotion of funds introduced by the new Cross-Border Distribution of Collective Investment Undertakings Directive and Regulation (Cross-Border Distribution of Funds (CBDF) Rules) are due to...more

Troutman Pepper

Investment Management Update - March 2021

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Just before we said goodbye to 2020, the Securities and Exchange Commission (SEC) finalized amendments to its advertising and solicitation rules under the Investment Advisers Act of 1940, as amended (Advisers Act). The SEC...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts New Marketing Rule

The Securities and Exchange Commission (SEC) announced on Dec. 22, 2020, that it has finalized amendments to the current advertising rule (Rule 206(4)-1) and cash solicitation rule (Rule 206(4)-3) under the Investment...more

Troutman Pepper

Using Regulation D Rule 506(c) to Raise Capital

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Raising investment capital through private offerings has always been a challenge, especially for new and emerging investment managers. COVID-19 has exasperated this challenge by significantly limiting traditional means of...more

K&L Gates LLP

Asia Region Funds Passport – Memorandum of Cooperation Signed

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Representatives from Australia, Japan, South Korea and New Zealand have this week signed the final Memorandum of Cooperation (Memorandum) setting out the internationally agreed rules and cooperation mechanisms for the Asia...more

Katten Muchin Rosenman LLP

Marketing Investment Management Services to Public Retirement Systems: Complying with Applicable Laws and Regulations

It is well-known that high-profile jurisdictions such as California and New York City have in certain instances placed lobbyist registration requirements on investment managers that solicit investment advisory business from...more

BakerHostetler

Third Circuit Holds Rule 10b-5 Violations May Be Imputed to Investment Management Company on Basis of Apparent Agency

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The United States Court of Appeals for the Third Circuit recently issued a decision that highlights the importance of investment management companies using extreme caution when promoting investment products to their clients,...more

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