Home Tags SEC Marketing Rule
Tag: SEC Marketing Rule
Red Oak targets adviser compliance gaps flagged by SEC
Keeping compliance policies current is becoming a growing challenge for investment advisers as business operations and regulatory expectations evolve. A recent Risk Alert from...
Misleading marketing: SEC’s warning to fund managers
A recent US Securities and Exchange Commission (SEC) settlement with a Florida-based investment manager is serving as a reminder to the asset management industry,...
SEC marketing rule FAQs: what asset managers must know
Zeidler Group has urged asset managers to treat the SEC’s latest Marketing Rule FAQs as a targeted clarification rather than a market-moving change, arguing...
