Advertising/Marketing

A review by the SRO has revealed deficiencies

Asset managers who offer “green” or “sustainable” investments ought to disclose how they’re using those terms, Republican SEC Commissioner Elad Roisman says. “How are they ...

A lesson for advisers is that you have a fiduciary duty to your clients and this means spotting red flags and conducting due diligence on ...

Lucia refused “to bow to an agency with unlimited resources unwilling to admit that its prosecution efforts had become wholly disproportionate to the alleged infraction”

The Commission commenced this proceeding on September 5, 2012

This case was tied to the F-Squared enforcement action

The court found that the defendants knew there were misleading statements in their marketing materials and that there had been inadequate due diligence, yet they ...

Consider discussing the proposed ad rule now with your sales and marketing teams

The dual registrant will now pay a $5 million penalty

Firm made misrepresentations about how it handled certain trade orders