Richard Kerr

Richard Kerr

K&L Gates LLP

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Recent SEC Actions Highlight Adviser Responsibilities With Respect to Performance Advertising

In a series of recent administrative proceedings, the Securities and Exchange Commission (the “SEC”) has clarified its expectations regarding the use of performance data in investment adviser advertisements. Specifically,...more

1/7/2016  /  Administrative Law Judge (ALJ) , Administrative Proceedings , Advertising , Data Use Policies , Investment Adviser , Marketing , Securities and Exchange Commission (SEC)
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