Videocast: Asset management regulation in 2020 videocast series – Private fund regulatory developments
As we move further away from the one-year anniversary of the compliance date for the SEC's new Marketing Rule 206(4)(1) under the Investment Advisers Act of 1940 (the "Marketing Rule"), Registered Investment Advisers ("RIAs")...more
On December 22, 2020, the US Securities and Exchange Commission (SEC) adapted the rules that govern investment advisor advertisements and payments to solicitors. The amendments consolidated the previous advertising and cash...more
The November 4, 2022, deadline for advisers to implement amended Rule 206(4)-1 (Marketing Rule) and related rules under the Investment Advisers Act of 1940 is fast approaching. Advisers required to comply with the rule are...more
In the late fall of 2020, the SEC implemented rule amendments which created a single rule, the Marketing Rule, that replaces the current Advertising and Cash Solicitation Rules. The Marketing Rule represents both significant...more
In late 2020, the SEC adopted1 rule amendments that require SECregistered investment advisers to, by November 4, 2022, switch their compliance regimes from the SEC’s current Advertising and Cash Solicitation Rules (Rules...more
On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments under the Investment Advisers Act of 1940 modernizing the rules governing investment adviser marketing. The amendments replace and...more
The SEC’s new marketing rule for investment advisers (the “New Marketing Rule”) was published in the Federal Register today, making the effective date of the New Marketing Rule May 4, 2021....more
On December 22, 2020, the SEC finalized rules governing investment adviser marketing and payments to solicitors under the Investment Advisors Act of 1940, as amended. The reforms create a single rule to replace the current...more
On December 22, 2020, the U.S. Securities and Exchange Commission (SEC or Commission) adopted amendments to the rules that govern investment adviser advertisements and compensation to solicitors under the Investment Advisers...more
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
The Investment Advisers Act of 1940 (the “Advisers Act”) is the shortest of the federal securities laws enacted after the Great Depression, and the SEC has adopted relatively few regulations under the Advisers Act. As any...more