Policies and Procedures

Policies and Procedures

SEC Risk Alert: Upcoming Marketing Rule Compliance Date and Adviser Exam Focus Areas

With the November 4, 2022 deadline for investment advisers to comply with the requirements and prohibitions for advertisements under the amended Advisers Act Rule 206(4)-1 (Marketing Rule) only a few weeks away, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) issued ...Read More