Advertising/Marketing

Within days, Everest closed the Global Fund and Fund investors lost almost the entirety of their investment

A Boston-based private fund adviser mislabeled one of its drilling assets in a marketing brochure and will now be $1 million lighter for it. In ...

Old Ironsides failed to implement its policies and procedures in its Compliance Manual concerning the use of investment performance results in marketing materials

This is the SEC's new IA advertising rule approved in December 2020

The NFA grants the exception to CTAs/RIAs after having reviewed SEC advertising rules

The "SEC had sent prior warnings to Defendants about problems in their advertising and disclosures and also warning that it would consider ‘recidivist behavior’"

Testimonials “will lead to a race to the bottom - once the market is opened to these types of endorsements, investor confusion will increase dramatically"

A Sacramento-based investment adviser is vowing to fight back against an SEC complaint that accuses him of bilking aging workers and retirees. The Commission says ...

Thanks go to Michael S. Caccese, Chairman of the Management Committee and Practice Area Leader - Financial Services at K&L Gates LLP, for giving us ...

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