SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
New Rule Questions? Join the IAA’s Marketing Implementation Group! The IAA has launched a number of initiatives to assist members with understanding and implementing the new Investment Adviser Marketing Rule...
Adviser Fined $1 Million for Misleading Private Fund Marketing Materials, Performance Information April 27, 2020 A Massachusetts-based investment adviser is paying $1 million to settle SEC charges of providing...
Private Fund Advisers and the Proposed Changes to the Advertising Rule By Benjamin Haskin, Partner, and Richard Jackson, Counsel, Willkie Farr & Gallagher LLP * January 1, 2020 Benjamin...
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