SEC is expanding efforts to provide advisers with guidance on compliance considerations for the ESG marketplace. Learn how we can help.
Recently fined adviser should have presented a more transparent review of failing portfolio companies in investor newsletters.
On Friday, March 5, 2021, the U.S. Securities and Exchange Commission’s highly anticipated Marketing Rule was published in the Federal Register.
SEC amendments to the advertising and cash solicitation rules could bring significant changes to investment advisers.
On Nov. 4, 2019, the Securities and Exchange Commission released proposed amendments intended to modernize the advertising and solicitation rules under the Investment Advisers Act.
The SEC charged a private equity fund adviser (“Respondent”) with failing to disclose accelerated portfolio monitoring fees adequately.
On November 15, 2017, the SEC’s Division of Enforcement released its annual report for Fiscal Year 2017 (“FY 2017”).
Unregistered investment adviser and its principals charged with engaging a fund in conflicted transactions without providing disclosure to the investors.
All Form ADVs filed on or after October 1, 2017, must now report the new information required by the updated form.
Effective Oct. 1, advisers will be required to comply with the revised Books and Records Rule. Under the new rule, advisers must maintain additional records supporting the calculation and distribution of performance information.
