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SEC Settles with Five Investment Advisers for Marketing Rule Violations | JD Supra
JD Supra· 3 days agoThe SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the...
SEC Finds Advisers' Compliance with Marketing Rule Still Lacking Despite Examination and Enforcement...
JD Supra· 2 days ago...Rule), the Marketing Rule’s general prohibitions, and the Marketing Rule items contained in Form ADV.1 This Risk Alert follows closely on the heels of the SEC settling charges with five registered investment advisers (Advisers) for Marketing Rule violations.2 We examine the pertinent details of...
SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations | JD Supra
JD Supra· 5 days agoThis Alert reinforces prior Division publications[1]that addressed SEC-registered investment advisers’ compliance with Rule 206(4)-1 ...
SEC.gov | SEC Charges Investment Adviser Catalyst Capital Advisors LLC for Improperly Splitting...
U.S. Securities and Exchange Commission· 5 days ago... today announced settled charges against San Juan, Puerto Rico-based registered investment adviser Catalyst Capital Advisors LLC for entering into an impermissible joint legal fee arrangement with its client, Mutual Fund Series Trust, an SEC-registered open-end investment company, which resulted...
Top Tips for Updating Your 2024 Compliance Program | JD Supra
JD Supra· 5 days agoAn essential element of that review is updating the firm's compliance policies and procedures to...
JD Supra: SEC Adopts Third Set of Amendments to Form PF
JD Supra· 2 days agoThe latest round of revisions to Form PF made a stealthy arrival, with the SEC announcing in mid-February that it adopted the updates without an in-person vote. As the third ...
Write the Best Annual Compliance Review Ever! | JD Supra
JD Supra· 4 days agoUnder Rule 206(4)-7, federally registered investment advisers must review their policies and procedures annually to determine their adequacy and the effectiveness ...
JD Supra: Securities Laws Fundamentals for Venture Capital Fund Managers
JD Supra· 17 hours agoThis post is intended to provide a quick introduction to the main securities laws that will apply to the fund, the management company and the fundraising process. Given the variables that can ...
Cetera arms advisors with active ETF guidance - InvestmentNews
InvestmentNews· 2 days agoCetera, the broker-dealer and registered investment advisor giant, has unveiled an investment resource to help its ...
SEC.gov | Mario E. Rivero
U.S. Securities and Exchange Commission· 21 hours agoU.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 25986 / April 29, 2024 Securities and Exchange Commission v. Mario E. Rivero, Civil Action No. 22-cv-01360 (D.N.J. filed Mar. 14 ...