Tag: Marketing Rule
Takeaways from SEC Compliance Outreach Program
Detailed takeaways from the SEC’s 2024 Compliance Outreach Program for investment advisers and investment companies.
November 11, 2024
Tags: AML, Artificial Intelligence , Cybersecurity, Digital Assets, Fiduciary, Marketing Rule, Private Funds, Trading
2024 IAA Virtual Compliance Workshop Takeaways – Cyber/Data Privacy, AI, Marketing Rule
Takeaways from the 2024 IAA Virtual Compliance Workshop.
September 16, 2024
Tags: AI, Compliance Workshops, Cybersecurity, Examinations, Marketing Rule
Marketing Rule Toppled by Off-Channel Communications for Top Compliance Concern
Advisers’ concerns of off-channel communications eclipsed the Marketing Rule as the top compliance concern, according to the 2024 Investment Management Compliance Testing Survey published today.
July 17, 2024
Tags: Climate, Compliance Testing Survey, Conflicts of Interest, Cybersecurity, Fees and Expenses, Marketing Rule, Off-Channel Communications, Private Funds, Recordkeeping, Research
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
Marketing Rule Lessons Learned
The compliance date for the new Marketing Rule is now five months in the rear-view mirror. How has the implementation process gone so far, and what questions still need to be resolved?
April 06, 2023
SEC Officials in the Spotlight at IAA Compliance Conference
More than 500 attendees, speakers, sponsors, and exhibitors joined the IAA in Washington, D.C. for the 2023 Investment Adviser Compliance Conference. SEC officials, industry experts, and IAA staff discussed critical topics for investment advisers, including the Marketing Rule, cybersecurity, digital assets, the volume of SEC proposals, exams and enforcement, and more.
March 17, 2023
Tags: Compliance Conference, Cybersecurity, Marketing Rule, SEC, SEC Enforcement, SEC Examinations, Smaller Advisers
SEC Publishes 2023 Examination Priorities
The SEC’s 2023 examination priorities reflect the agency’s broader focus areas, emphasizing an adviser’s fiduciary duty to act in its clients’ best interest, cybersecurity, ESG, and compliance with the new Marketing Rule.
February 09, 2023
Tags: FinTech, Cybersecurity, ESG, Examinations, Fiduciary, Marketing Rule, Private Funds
IAA Briefs Members on 2023 Policy Landscape
In their annual Briefing Webinar, IAA staff discussed the implications of the current legislative and regulatory landscape for investment advisers, including expected policy themes for 2023 and IAA advocacy.
February 10, 2023
Tags: Advocacy, Cybersecurity, ESG, IAA on Capitol Hill, Marketing Rule, Outsourcing, SEC Investment Management, Webinars
SEC Issues New Marketing Rule FAQ on Net Performance Requirements
SEC staff FAQ on displaying gross performance of one investment or a group of investments from a private fund under the Marketing Rule.
January 13, 2023
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