Trish Lilley on How to Build Influence & Gain Buy-In for Change: Passle CMO Series Live Podcast
Jim Newell & Liz Lockett of Buchanan Ingersoll & Rooney on Cultivating Collaboration: Buchanan's Secrets to Success - Passle's CMO Series EP155
Passle's CMO Series REPRESENTS: Lucie Allen & Silvia Van den Bruel on Normalizing #MenopauseMatters
Thought leadership is a potent client service tool you didn't know you had
Hot Topics in International Trade - Managed Services and FTZs
Science can't clone you, but your thought leadership content can
Thought leadership provides air support for your business development ground game
The FTC’s Proposed Rule Banning Deceptive Reviews and Testimonials
Elizabeth Anscombe of Nardello & Co. on Building Trust in Confidential Services - Passle's CMO Series Podcast EP148
CMO Series Podcast Special - The Highlights from CMO Series Live in New York
Don't chase eyeballs with your thought leadership. Chase these two things instead.
Thought leadership is also a client and referral source retention tool
Nick Andrews of Knight Frank on The Changing Nature of Building Trust in Professional Services Marketing - Passle CMO Series Podcast EP143
Yes, your firm should create bingeable thought leadership content
Thought leadership is a process, not a product
Law Firm ILN-telligence Podcast | Episode 91: Amanda Schneider | Epstein Becker Green
Four unexpected lessons about writing that lawyers can learn from cake decorating competitions
Brenton Anderson of Dentons on Value Led BD, the Biggest Missed Opportunity for Professional Services? - Passle's CMO Series EP140
CMO Series Podcast LIVE - Erin Stone Dimry on Positioning Your Firm as the Go-To Choice
Five reasons you should be curating content if you're too busy to create content
Alongside the rapid pace of Securities and Exchange Commission (SEC) rulemaking, the SEC and its Staff continue to shape regulatory obligations for investment advisers in 2024 through guidance, alerts, enforcement actions,...more
This alert highlights recent artificial intelligence (AI)-related enforcement actions that the Securities and Exchange Commission (SEC) has brought against investment advisers under the SEC's "Marketing Rule." The enforcement...more
Private Fund Rules Cancelled, Survey Says Marketing Rule is a Lot of Work and the Intersection of Regulation BI and Investment Adviser’s Fiduciary Duty - Welcome to our June Regulatory Roundup, where we provide you with a...more
Recently, the SEC settled another administrative proceeding under the Advisers Act's Marketing Rule. This time, the SEC focused on advertisements that a hedge fund sponsor made to prospective investors. The hedge fund's...more
SEC DROPS NEW REQUIREMENT FOR INCIDENT RESPONSE PROGRAMS, PROPOSAL FOR RIAS TO ADOPT CIP, SEC EXAMS SHARES MARKETING RULE FAILURES, RIA SLAMMED FOR FAILING TO RETAIN TEXTS, AND SEC WINS ON SHADOW TRADING THEORY - Welcome to...more
This spring Latham & Watkins lawyers provided guidance on the US Securities and Exchange Commission’s (SEC’s) new rules for private fund advisers at the firm’s inaugural Texas Private Funds Breakfast Series in Houston....more
Private fund sponsors should be aware of two recent SEC regulatory developments with respect to (1) the newly adopted private fund rules (Rule 211(h)(1)-2; Rule 211(h)(2)-3; Rule 211(h)(2)-1; Rule 211(h)(2)-2, and Rule...more
Like many other industries, Registered Investment Advisers ("RIAs") have dealt with significant regulatory, technological, and systemic change in recent years. Compared to FINRA-regulated entities, RIAs often face these...more
The U.S. Securities and Exchange Commission (SEC) Division of Examinations (the Division) recently released its annual Examination Priorities for fiscal year 2024 (the Report). The Report underlines the Division’s focus on...more
The priorities highlight emerging and core risk areas for investment advisers, broker-dealers, and other entities, including cybersecurity and crypto assets. On October 16, 2023, the Securities and Exchange Commission’s...more
Private fund advisers that are registered with the Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 (the “Advisers Act”) are subject to certain rules governing their use of investment track...more
In order to provide an overview for busy in-house counsel and compliance professionals, we summarize below some of the most important SEC enforcement developments from the past month, with links to primary resources. This...more
On August 23, 2023, a divided U.S. Securities and Exchange Commission (SEC) issued new rules (the Rules) relating to the regulation of private fund advisers. The Rules aim to help protect investors in private funds (including...more
On August 23, the Securities and Exchange Commission (SEC) adopted new rules (Adopting Release) for private fund advisers under the Investment Advisers Act of 1940, as amended (Advisers Act). The new rules require private...more
On June 8, 2023, the SEC Division of Examinations staff (EXAMS) published a risk alert focused on the new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940). While this new risk alert largely mirrors...more
On February 7, 2023, the U.S. Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) released its annual Priorities Report1 for upcoming examinations of registered investment advisers...more
The SEC staff has issued an FAQ related to amended Rule 206(4)-1 under the Investment Advisers Act (the “Marketing Rule”) clarifying that the net/gross rules apply to extracted performance that may consist of returns of...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
Recently published guidance by the SEC staff from the Division of Investment Management (the “Staff”) is likely to have a significant impact on marketing materials prepared by investment advisers marketing new private funds....more
On January 11, 2023, the staff of the Division of Investment Management of the Securities & Exchange Commission (the “Staff”) updated its Frequently Asked Questions (“FAQ”) relating to compliance with Rule 206(4)-1 under the...more
The transition period for recently adopted changes intended to modernize rules that govern investment adviser advertisements and compensation of solicitors has expired (effective November 4, 2022). The new rules revise and...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
The substantive provisions of the new Marketing Rule come into effect for all private fund managers, fund sponsors and other investment advisers registered with the U.S. Securities and Exchange Commission in one month (i.e.,...more
This article focuses on how the new Rule 206(4)-1 (the “Marketing Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”) affects the relationships between investment advisers registered with the U.S. Securities...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