This RIA Regulatory Review highlights certain key regulatory developments affecting investment advisers....more
6/4/2024
/ Compliance ,
Electronic Communications ,
Enforcement Actions ,
FinCEN ,
Insider Trading ,
Instant Messaging Apps ,
Investment Adviser ,
Marketing ,
Material Nonpublic Information ,
Registered Investment Advisors ,
Regulation S-P ,
Risk Alert ,
Say-on-Pay ,
Securities and Exchange Commission (SEC) ,
Text Messages
The SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”)....more
5/1/2024
/ Advertising ,
Civil Monetary Penalty ,
Enforcement Actions ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Marketing ,
Policies and Procedures ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Violations ,
Settlement
The staff (“Staff”) of the SEC’s Division of Investment Management recently issued a new FAQ (the “FAQ”) on Rule 206(4)-1 (the “Marketing Rule”) under the Investment Advisers Act of 1940 in which the Staff confirmed that the...more
The staff (“Staff”) of the SEC’s Division of Investment Management recently issued an FAQ (the “FAQ”) to clarify that, under Rule 206(4)-1 (the “Marketing Rule”) of the Investment Advisers Act of 1940, an SEC-registered...more