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Advertising/Sales (59)
Your search for Advertising/Sales returned 59 results.
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10/24/2018 | Content area: Investment Adviser
A peer shares a Word file that is a checklist to use before hiring any solicitor, finder, third-party placement agent or such.
12/10/2015 | Content area: Investment Adviser
The latest chapter in a roller coaster case against two former State Street executives that began with the 2007 subprime mortgage crisis ends with the...
8/06/2015 | Content area: Investment Adviser | Private Fund
The recent move by the European Securities and Markets Authority to not extend so-called passport authority to U.S. managers marketing their private f...
6/18/2015 | Content area: Investment Adviser
Many CCOs have heard the protestations from marketers. “That ad didn’t need to be run through compliance first because the materials would go to only ...
1/22/2015 | Content area: Investment Adviser | Private Fund
Here’s the scenario: Your firm hires a new portfolio manager whose history makes him look like the Wall Street version of a titan. The marketers can’t...
1/20/2015 | Content area: Investment Adviser | Private Fund
This is an example from a peer of the firm's policies and procedures for use of predecessor performance data. These P&Ps are based on GIPS rules.
1/01/2015 | Content area: CPO/CTA
(1) Except as provided in paragraph (2), not later than six months after the effective date of rules promulgated by the Federal Trade Commission under...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Copies of material filed with the Commission for the sole purpose of complying with section 24(b) of the Act either shall be accompanied by a letter o...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Copies of material filed with the Commission for the sole purpose of complying with section 24(b) of the Act either shall be accompanied by a letter o...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Any advertisement, pamphlet, circular, form letter, or other sales literature addressed to or intended for distribution to prospective investors that ...
12/23/2014 | Content area: Investment Adviser | Private Fund
F-Squared Investments co-founder Howard Present should have known better. Before founding F-Squared in May 2006, a long career in the development and ...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) It shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business within the meaning of section 206(4) of the Act...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) It shall be unlawful for any investment adviser required to be registered pursuant to section 203 of the Act to pay a cash fee, directly or indir...
7/14/2014 | Content area: Investment Adviser | Broker-Dealer
If you sell securities via a private placement to a non-accredited investor, you must notify FINRA.This rule applies to offerings made with funds from...
7/14/2014 | Content area: Private Fund
Six new FAQs from the SEC's Division of Corporation Finance may not spur greater use of general solicitation but they encourage firms to think for the...
5/26/2014 | Content area: Broker-Dealer | Private Fund
A year has passed since SEC official David Blass created a stir by reminding the industry that receiving transaction-based compensation may require a ...
1/30/2014 | Content area: CPO/CTA
1/27/2014 | Content area: Investment Adviser
For the second time this month, the SEC has issued new FAQs to help private fund advisers functioning under new rule 506 changes (IA Watch, Jan. 13, 2...
11/18/2013 | Content area: Investment Adviser
A source told us earlier this month that you would not be denied the exemption to sell private offerings via general solicitation if one or two non-ac...
11/04/2013 | Content area: Investment Adviser
Think e-mail in 1991. The Internet in 1993. Predictions flowed in about how these new forms of communication wouldn't last.Now imagine general solicit...


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