Check out our regulatory update for May 2024, including Amendments to Regulation S-P, Proposed CIP requirements, the latest SEC Risk Alert on Marketing Rule, and more!
The SEC’s Risk Alert provides a list of Marketing Rule deficiencies — a must read!
Use our cheat sheet for updating your compliance program for 2024!
SEC slams firms for using hypothetical performance on websites. See our analysis.
Last week, the U.S. Securities and Exchange Commission announced charges against nine registered investment advisers for holding out hypothetical performance on public websites without adopting
The Commission has significantly expanded their scope and request of items pertaining to advisers’ marketing content. We have recently gone through a number of exams
