Advertising/Marketing

I also very much welcome your discussion this afternoon of Regulation D, one of the primary engines of capital formation in this country. Approximately ...

The number of SEC examinations resulting in a referral to the Division of Enforcement has remained fairly constant over the past five years—falling in the ...

Issues tied to fees and expenses are “dominating” today’s SEC examinations of private fund advisers. That message was delivered by several Kirkland & Ellis partners ...

Ask people about the importance of the 30-year-old SEC Clover Capital no-action letter and you hear responses that speak to its staying power:   “It’s ...

This matter arises from misstatements made by registered investment adviser Cantella to certain of its advisory clients, including clients with separately managed accounts invested in F-Squared ...

Investors in a hedge fund will be reimbursed nearly $3 million in losses suffered when they were misled about the fund’s investment strategy and historical ...

J.P. Morgan Securities settled SEC charges Jan. 6 that it misled its private banking customers by stating that its brokers had “skin in the game” ...

A failure to disclose “with sufficient prominence and detail” that its investment strategy’s advertised performance was hypothetical rather than actual has landed Alpha Fiduciary and ...

Respondents and AFI’s former vice president and business development director created and distributed to clients and prospective clients performance advertising that failed to disclose with ...

AFI’s advertising materials also contained seven examples of investment decisions made using the GTMACS in 2009 and 2010 generating realized or unrealized gains of 5.51% ...