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United States - Advertising, Marketing & Branding - SEC Marketing Rule Update: Risk Alert Pinpoints Examination Findings To Date

The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule.

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SEC Charges Five Registered Investment Advisers for Marketing Rule Violations | Mayer Brown

SEC Charges Five Registered Investment Advisers for Marketing Rule Violations | Mayer Brown
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SEC Speaks 2024: In Defense of the Enforcement Division s Agenda | McGuireWoods LLP

On April 2 and 3, 2024, U.S. Securities and Exchange Commission Chair, Gary Gensler, Division of Enforcement Director, Gurbir Grewal, and other senior SEC officials convened at the SEC.

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Takeaways from the SEC Division of Enforcement s FY 2023 Report | Patterson Belknap Webb & Tyler LLP

On November 14, 2023, the Securities and Exchange Commission (the “SEC”) published its enforcement results for fiscal year 2023. FY23 was another active year in terms of SEC.

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Hypothetical Performance Crackdown: Nine Firms Charged With Violations of Investment Adviser Marketing and Recordkeeping Rules | K&L Gates LLP

On 11 September 2023, the Securities and Exchange Commission (SEC) announced charges against nine investment advisers for violations of: (i) the hypothetical performance requirements.

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