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SEC Marketing Rule Update: Additional Focus Areas In Examinations - Securities
On June 8, 2023, the staff ("Staff") of the SEC's Division of Examinations ("Division") released a Risk Alert[1] ("Risk Alert"), alerting registered investment advisers ("Advisers") to additional.
Division of examinations
Fund advisers
Risk alert
Marketing rule
September risk alert
Should assess use
Should review existing
New placement agent
Assess whether
Such arrangements
Should assess whether reference
Including industry awards
Advertisements comply with
Should ensure responses
Examinations focused
Additional areas
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