Advertising/Marketing

This is a 2013 proposal from the SEC to amend Form D to include more disclosure from private fund issuers. This is tied to the ...

If you seek any more data to attest to the mess that was Stanford Capital Management, look no farther than the case of Jason D'Amato. ...

Max Zavanelli has had his troubles when it comes to advertising the performance of his firm, ZPR Investment Management ($164M in AUM) in Orange City, ...

One call from a TV producer and an analyst, researcher, trader or portfolio manager can't wait to don the makeup and sit under those klieg ...

Two recent “no-action” letters from the SEC bless advisers that use online portals to unite accredited investors with startup funds and business opportunities. Some read ...

A peer shares the authorization form the firm uses to get permission from a client to publish her name.

Click here to open a Word file that is an example of a client authorization form to be included in firm newsletters and its website. ...

If you market private funds into the EU, you should know that the new regulatory structure known as the Alternative Investment Fund Managers Directive (AIFM) ...

These advisers were charged with poor compliance P&Ps for not requiring a review of portfolio manager valuations and that were not reasonably designed to ensure ...