Advertising/Marketing

One of the first SEC enforcement cases of 2022 fines a firm for lacking compliance P&Ps around the IA’s use of hypothetical advertising—in a year ...

CMG prepared hypothetical, backtested performance results and the backtest was not adequately correlated with the securities they replaced in the live strategy

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These come courtesy of Ellen Bruno of Compliance Advisor Professionals in Berkley, Mass

Manager, adviser didn't disclose until after the SEC came calling, order says

This is what the new SEC IA ad rule says about use of testimonials

Matt Lovett, CCO at Brookstone Capital Management ($3.5B in AUM) in Wheaton, Ill., shares his firm's new testimonial P&P under the SEC's new IA ad ...

Say goodbye to the seminal Clover no-action letter from 1986 and scores of other key SEC guidance over the decades related to advertising and marketing ...

The withdrawals of, and modifications to, the statements identified in Appendix A will be effective as of November 4, 2022 (the Marketing Rule compliance date)

The founder of an Orange County private fund adviser bungled his firm’s entry into the industry, its custody of client funds, its compliance program, its ...