On April 17, 2024 the Securities and Exchange Commission (“SEC”) Division of Examinations (the “Division”) issued a Risk Alert regarding investment advisers’ compliance with amended.
The US Securities and Exchange Commission ("SEC") recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 ("Marketing Rule") under the Investment Advisers Act of 1940.
SEC warns industry against marketing rule pitfalls investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.
On April 12, 2024, the SEC imposed fines and other sanctions on five registered investment advisers for violations of the Investment Adviser Marketing Rule (Rule 206(4)-1), which has now been in effect for nearly a year and a half.
SEC Issues Risk Alert Related to Security Based Swap Dealers natlawreview.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from natlawreview.com Daily Mail and Mail on Sunday newspapers.