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New SEC Advertising Rule

SEC’s new 2020 Advertising rule

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The adviser was also unable to substantiate performance claims, failed to disclose material conflicts of interest related to advertised testimonials and failed to implement certain ...
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Delphia failed to lay out a clear advertising review and approval process, either in its policies and procedures or otherwise, that would enable its personnel ...
Business people watching a presentation on the whiteboard. A man is writing on the whiteboard with charts and graphs. They are sitting in a board room, there are laptop computers and technology on the table. All are casually dressed. There is a window behind him with city views.
It’s been more than one year but SEC staff have released new FAQs tied to the IA advertising rule and they caution that net and ...
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Senior personnel repeatedly violated policies by, among other things, sending emails to current investors, potential investors, and industry contacts which, in certain cases, unnecessarily disclosed ...
A photo of a business meeting in a modern office with large windows. A businessman is standing up while his colleagues are sitting down. They are smartly dressed. Horizontal daylight indoor photo.
Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners
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A source shares with RCW a copy of a new DOE exam letter described as a new sweep exam tied to the new IA marketing ...
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The adviser would 'periodically' have its disclosures 'reviewed and revised by WAM’s internal and external legal and compliance professionals, but those revisions did not adequately ...
In this closeup from inside the vehicle, an unrecognizable driver waits for an unrecognizable police officer as she writes him a speeding ticket. The officer can be seen holding a pad and pen and writing the ticket.
Elm Partners published on its website at https://elmweath.com/returns-view that constituted advertisements because they offered Elm Partners’ investment advisory services with regard to securities to prospective ...
Policies and Procedures. Successful business, law and profit background
Hypothetical performance is defined as performance results that were not actually achieved by any portfolio of the investment adviser
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Linden Thomas disseminated hypothetical performance in advertisements to a mass audience rather than presenting hypothetical performance relevant to the likely financial situation and investment objectives ...
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