Tag: Advertising
SEC Announces Enforcement Actions Resulting from “Sweep into Marketing Rule Violations”
The SEC announced enforcement actions against nine advisers under the Marketing Rule in connection with advertising hypothetical performance.
September 12, 2023
Tags: Advertising, Marketing Rule, Performance
SEC Settles First Enforcement Action Under the Marketing Rule
SEC settles first enforcement action under new Marketing Rule; charges relate to misleading hypothetical performance in advertisements and several other compliance failures.
August 22, 2023
Tags: Advertising, Crypto Assets, Hedge Clauses, Marketing Rule
SEC Risk Alert Regarding Upcoming Examinations for Compliance with New Marketing Rule
Key takeaways from the September 20 SEC Risk Alert about examination initiatives and areas of review for compliance with new Marketing Rule.
September 20, 2022
Tags: Advertising, Marketing, Performance
New Rule Questions? Join the IAA’s Marketing Implementation Group!
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...
February 01, 2021
Tags: Advertising, Advertising Rule, Compliance, Marketing Rule, Workshop
Private Fund Advisers and the Proposed Changes to the Advertising Rule
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...
January 01, 2020
Tags: Advertising, Advertising Rule, Columns, Compliance Corner, Hedge Funds, Private Equity, Private Funds
Adviser Fined $1 Million for Misleading Private Fund Marketing Materials, Performance Information
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...
April 27, 2020
Tags: Advertising, Advertising Rule, Private Funds, SEC Enforcement
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