News & Analysis as of

Marketing Financial Regulatory Reform

Troutman Pepper

CFPB Warns Remittance Transfer Providers That Marketing About Speed and Cost Could Violate the CFPA

Troutman Pepper on

Can remittance transfer providers be held liable under the Consumer Financial Protection Act (CFPA) when marketing about the speed and cost of their services? According to a March 27 Circular issued by the Consumer Financial...more

Cadwalader, Wickersham & Taft LLP

The United Kingdom Introduces New Rules for Marketing Cryptoassets

The UK’s Financial Conduct Authority (“FCA”) has introduced robust new rules for those marketing cryptoassets to UK consumers. In Policy Statement PS23/6, new requirements covering financial promotions for all firms aimed at...more

Tannenbaum Helpern Syracuse & Hirschtritt LLP

SEC Division of Investment Management Staff Releases Updated FAQ Regarding Marketing Rule Compliance

On January 11, 2023, the staff of the SEC’s Division of Investment Management (the “Division Staff”) updated its list of frequently asked questions (“FAQs”) related to amended Rule 206(4)-1 (the “Marketing Rule”) under the...more

Cadwalader, Wickersham & Taft LLP

ESMA Publishes Final Cross-Border Marketing Technical Standards

On 21 December 2022, ESMA published a final report in relation to draft technical standards for cross-border fund management activities and the cross-border marketing of investment funds within the EEA under the UCITS and...more

Cadwalader, Wickersham & Taft LLP

August Changes to Fund Distribution in the EEA

This week sees the introduction of significant changes to the rules and regulations governing the marketing of alternative investment funds (“AIFs”) to investors in the Member States of the European Economic Area (the “EEA”)...more

Proskauer Rose LLP

Publication of Sweeping Changes to SEC Marketing Rule Sets Effective and Compliance Dates

Proskauer Rose LLP on

On March 5, 2021, the SEC release adopting broad changes to rule 206(4)-1 under the U.S. Investment Advisers Act of 1940 was published in the federal register...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts New Marketing Rule

The Securities and Exchange Commission (SEC) announced on Dec. 22, 2020, that it has finalized amendments to the current advertising rule (Rule 206(4)-1) and cash solicitation rule (Rule 206(4)-3) under the Investment...more

Bressler, Amery & Ross, P.C.

The SEC Adopts a Modernized Marketing Rule and the Testimonial Prohibition is No Longer

On December 22, 2020, the Securities and Exchange Commission (SEC) released an amended, “modernized” Rule 206(4)-1 of the Investment Adviser’s Act of 1940 (the “Marketing Rule”) citing advancements in technology, changes in...more

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

Yesterday, federal officials unveiled an ongoing EEOC investigation into whether Uber “discriminated against women in hiring and pay” that began last August. The news extends Uber’s streak of investigations and brutal PR well...more

Dechert LLP

Financial Services Quarterly Report - Third Quarter 2013: A New Private Funds Regulatory Framework for the PRC

Dechert LLP on

For years, the Chinese private fund industry has operated in regulatory limbo, but a recent series of legislative and regulatory actions should provide greater certainty and help create a more favorable environment for the...more

10 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide