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Preparing Compliant Advertising (Including GIPS)

Preparing Compliant Advertising (Including GIPS) THE AD RULE Advertising is often a key focus of the SEC’s examinations, making it imperative for investment advisers to remain up to date on the requirements of marketing-related regulations.  All written communication provided to more than one person and any notice that solicits investment advisory [...]

CFA Institute Issues Guidance Statement on Broadly Distributed Pooled Funds

CFA Institute Issues Guidance Statement on Broadly Distributed Pooled Funds WHAT HAPPENED? The CFA Institute has recently released a guidance statement on broadly distributed pooled funds for firms that manage one or more pooled funds and influence the official pooled fund documents or fund-specific marketing materials. A broadly distributed pooled fund is [...]