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SEC Marketing Rule Continues to Dominate Investment Advisers' Compliance Concerns, Survey Reveals | ACA Group

SEC Marketing Rule Continues to Dominate Investment Advisers' Compliance Concerns, Survey Reveals | ACA Group
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What's keeping investment firm compliance officers awake at night?

IAA reveals the results of its 2023 Investment Management Compliance Testing Survey ....

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Firms Not Warming To Testimonials Despite Ad Rule, IAA Survey Finds

The IAA annual compliance survey found that not many firms had increased their use of testimonials and endorsements after the SEC's ad rule. ....

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SEC Throws Down the Gauntlet and Proposes Significant New Private Fund Adviser Rules/Amendments to Existing Investment Advisers Act Rules | Troutman Pepper

On February 9, the Securities and Exchange Commission (SEC) proposed numerous new rules and amendments to existing rules and Form ADV under the Investment Advisers Act of 1940, as. ....

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