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Venture Capital Fund Managers' Guide to Applying the Latest Marketing Rule Risk Alert | Cooley LLP

Venture Capital Fund Managers' Guide to Applying the Latest Marketing Rule Risk Alert | Cooley LLP
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SEC risk alert warns investment advisers of marketing rule missteps

SEC risk alert warns investment advisers of marketing rule missteps
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SEC Issues Risk Alert Related to Security Based Swap Dealers

SEC Issues Risk Alert Related to Security Based Swap Dealers
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Securities And Exchange Commission Brings First Enforcement Actions Over

On March 18, 2024 the SEC announced that it had settled charges in separate actions against two investment advisers, Delphia (USA) Inc. and Global Predictions, Inc. for making false or misleading statements regarding their use of AI.

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SEC Examiners Find Firms Making Untrue Statements in Ads

The latest risk alert from the SEC concerning the marketing rule is finding some firms are continuing to make "untrue" statements in ads.

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