Titan violated the Marketing Rule by advertising hypothetical performance without having adopted and implemented policies and procedures reasonably designed to ensure that the hypothetical performance ...
Our periodic recounting of what examiners in the SEC’s Division of Examinations are pursuing in adviser exams samples several new exam request letters obtained by ...
A pre-clearance process involving compliance and legal whenever a PM seeks to request an allocation of an upcoming equity offering makes a lot of sense ...
Industry group seeks a 60-day comment period extension of the SEC's proposal on conflicts tied to the use of predictive data analytics
Multiple sources have told RCW that the SEC has launched its long-anticipated Division of Examinations sweep tied to the IA advertising rule, and we’ve gotten ...
You have until Oct. 10th to comment on the SEC’s proposal targeting the use of artificial intelligence
You have until Oct. 10th to comment on the SEC's proposal directed at AI-related technology and conflicts involving IAs and B-Ds
Firms could 'neutralize' a tool’s bias in favor of the adviser by 'rendering the consideration of the firm-favorable information subordinate to investors’ interests, and thus ...
The alert zeroes in on independent testing, training, and the identification and verification of customers and their beneficial owners
The rule amendments are effective October 2, 2023. The amendments to Forms N–1A and N–CSR are effective October 2, 2023 and the amendments to Forms ...