What the SEC is Scrutinizing in Its Marketing Rule Exams
What the SEC is Scrutinizing in Its Marketing Rule Exams
This is intended, in part, to prevent misleading marketing in which underperforming funds are bundled with others to conceal their low ...
SEC brings first Marketing Rule enforcement action: Key takeaways ...
Key takeaways · Scrutiny of Marketing Rule policies and procedures · Evaluation of performance disclosures · Consider and confirm the intended ...
Transparency for SEC Exams, Marketing Rule Sweep, and More ...
[6] Since RIAs must disclose all of their business websites on Form ADV Part 1, SEC staff is able to scan RIAs' websites for certain items, ...
What the SEC is Scrutinizing in Its Marketing Rule Exams
Perlow noted that advertising that includes material statements of fact for which the adviser lacks a reasonable basis for believing can be ...
The SEC Marketing Rule: What you need to know - Saifr
The Marketing Rule does not require investment advisers to review and approve their advertisements prior to dissemination but instead allows advisors to ...
SEC Cracks Down on Marketing Rule Violations: Takeaways for ...
Implications for Investment Advisers ... This enforcement action underscores the SEC's rigorous scrutiny of compliance with the Marketing Rule, ...
SEC focus remains on Marketing Rule - Bovill Newgate
While you get more comfortable with the Marketing Rule, the SEC is still focusing on marketing for organizations as part of their exams.
Funds in Focus: Top SEC Exam and Enforcement Trends - Insights
The Marketing Rule Remains Relevant. Questions on the SEC's Marketing Rule have become standard on exams. SEC examiners continue to scrutinize ...
The (New) Marketing Rule: Perspectives on RIA Compliance, One ...
Practical Takeaway:Beyond the SEC Sweep, SEC Staff have noted in RIA examinations that policies and procedures on advertising hypothetical ...
Navigating the SEC's Marketing Rule: Compliance Challenges and ...
... its Marketing Rule ... Recent SEC examinations show increased scrutiny of marketing materials, including statements of fact and performance.
SEC Finds Advisers' Compliance with Marketing Rule Still Lacking ...
The Division scrutinized whether Advisers had adopted and implemented written policies and procedures reasonably designed to prevent violations ...
SEC Marketing Rule Update: Risk Alert Pinpoints Examination ...
The SEC's Examination Staff continues to focus on investment adviser's compliance with the Marketing Rule. In a recent Risk Alert, ...
The SEC's Marketing Rule: Open Issues and Looming Sweep Exams
The SEC staff (the Staff) previewed these exams in a September risk alert that also outlined portions of the Rule that it intends to focus on ...
Top Compliance Concern: an SEC Exam on the Marketing Rule
The SEC's Division of Examination (EXAMS) staff is currently examining SEC Registered Investment Adviser firms for compliance with the Marketing Rule with ...
exams-risk-alert-marketing-rule.pdf - SEC.gov
Advisers should consider whether they need to update or revise their written policies and procedures, as required by Advisers Act Rule 206(4)-7, ...
SEC Marketing Rule Insights and Solutions - ACA Group
The SEC has made it clear that compliance with the new rule will be an exam priority. Will your marketing program hold up to SEC scrutiny? We can help review ...
SEC Expands the Scope of Its Marketing Rule Examination Sweep
On June 8th, the SEC Division of Examinations (the “Division”) published a risk alert expanding the areas of focus for its ongoing ...
SEC Charges Five Registered Investment Advisers for Marketing ...
Accordingly, investment advisers should scrutinize their policies, procedures and internal controls regarding the use of performance that the ...
SEC Enforcement: RIAs Under Scrutiny For Marketing Rule ...
The SEC's stance on hypothetical performance is clear: while RIAs are allowed to use such data in their advertising, it must be provided in a manner that is ...
SEC Staff Issues Observations on Adviser Marketing Rule ...
The Division of Examinations (Examinations) of the U.S. Securities and Exchange Commission (SEC) issued its observations (Risk Alert) on ...