On August 23, 2023, the Securities and Exchange Commission (SEC) adopted new rules and amendments under the Investment Advisers Act of 1940, as amended (the Advisers Act), that are expected to have a wide-ranging impact on...more
10/30/2023
/ Advisors Act ,
Anti-Fraud Provisions ,
Bad Faith ,
Best Interest Standard ,
Breach of Duty ,
Enforcement ,
Fiduciary Duty ,
Investment Adviser ,
Negligence ,
Offshore Funds ,
Portfolio Managers ,
Private Funds ,
Securities and Exchange Commission (SEC) ,
Standard of Conduct
On December 22, 2020, the U.S. Securities and Exchange Commission (SEC) announced a modernized rule (the New Marketing Rule) governing (i) investment adviser advertisements and (ii) payments to solicitors. Under the...more
1/22/2021
/ Advertising ,
Advisors Act ,
Books & Records ,
Cash Solicitation Rule ,
Endorsements ,
False Statements ,
Federal Register ,
Investment Adviser ,
Marketing ,
Securities and Exchange Commission (SEC) ,
Solicitation ,
Third-Party ,
Written Agreements