Adam Goldman

Vedder Price

+ Follow Contact

Latest Posts › Investment Management

Share:

SEC Provides Helpful Marketing Rule FAQ Guidance

On March 19, 2025, the Securities and Exchange Commission (“SEC”) updated its frequently asked questions (FAQs) relating to Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Marketing Rule”). The new FAQs permit...more

4/3/2025 / Disclosure Requirements , Investment Adviser , Investment Advisers Act of 1940 , Investment Management , Marketing , New Guidance , Proposed Rules , Regulatory Requirements , Securities and Exchange Commission (SEC)

SEC Settles Enforcement Proceedings Against Quantitative Hedge Fund Manager for Alleged Algorithmic Model Vulnerabilities

On January 16, 2025, the SEC announced the settlement of administrative proceedings brought against a hedge fund manager that used algorithmic investment models to provide investment advice to its private fund and separately...more

2/28/2025 / Cybersecurity , Enforcement Actions , Fiduciary Duty , Investment Adviser , Investment Management , Risk Management , Rule 21F-17 , Securities and Exchange Commission (SEC) , Securities Regulation , Whistleblowers

Investment Services Regulatory Update - September 2019

New Rules, Proposed Rules, Guidance and Alerts - GUIDANCE AND ALERTS - SEC Staff Issues Guidance on Improving Fund Principal Risks Disclosure - On September 9, 2019, the Disclosure Review and Accounting Office...more

10/2/2019 / Best Interest Standard , Broker-Dealer , Disclosure Requirements , Enforcement Actions , Financial Regulatory Reform , Financial Services Industry , Investment Adviser , Investment Management , Securities and Exchange Commission (SEC) , Securities Transactions

3 Results

View per page

Page: of 1