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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
'Being reactive is no longer an option'
The new data indicate advisers aren’t broadly embracing the new ad rule
'It’s a much more expansive universe,' expert warns
Questions include RFPs, DDQs
Substantiation requirements give regulators entre into private funds' vaults
New marketing rule intersects with old valuation problems
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
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