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Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is. ....
Venture Capital Fund Managers' Guide to Applying the Latest Marketing Rule Risk Alert | Cooley LLP jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.
SEC risk alert warns investment advisers of marketing rule missteps complianceweek.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from complianceweek.com Daily Mail and Mail on Sunday newspapers.
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.
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. ....