The new request shared with RCW asks the adviser if it updated its P&Ps for the new ad rule and, if not, to explain why
The new data indicate advisers aren’t broadly embracing the new ad rule
Substantiation requirements give regulators entre into private funds' vaults
Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...
Form ADV responses reveal a chill in using the new ad rule’s flexibility
Thanks to K&L Gates and Michael Caccese and Pamela Grossetti for giving RCW permission to share their checklist with you