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'Broken windows' gets industry workout
Some have told us the interactive tool vendors have been accommodating, even knowing about the new SEC ad rule and willing to hand out disclosures ...
A clear message being conveyed by the alert is that advisers better be able to 'substantiate material statements' in their ads
The checklist also could be used as a foundation for reviewing advertising pieces and completed copies could make for potential documentation to show future SEC ...
Eversheds-Sutherland gives RCW permission to share with you its checklist to aid compliance with the SEC's new IA ad rule
The staff will review whether investment advisers have adopted and implemented written policies and procedures that are reasonably designed to prevent violations
One more key difference between GIPS and the SEC is the Commission doesn’t want firms to count returns from accounts that aren’t charged a fee
A peers shares the firm's new advertising P&P designed for the new SEC IA ad rule
A peer shares a new solicitation P&P designed to comply with the new SEC IA ad rule
Enforcement deadline looms
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