Advertising/Marketing

Click here to open a Word document that is a marketing review form courtesy of Michelle Kennedy, consultant with Compass Compliance Services in Greenwood, S.C. ...

Sometimes there are few bright lines. Take the sale of unregistered securities such as hedge fund offerings. Most funds rely on exceptions under Reg D, ...

A peer shares his firm's policy regarding employee use of the Internet.

A peer shares a copy of her firm's social media policy.

A peer shares the firm's social media policy.

Here's the scenario, raised by a peer: The adviser prepares an RFP to seek new business. A subadviser wants to augment the RFP with an ...

You have until August 23rd to let the SEC know what you think of its new target date funds proposal. The proposed rule has been ...

You can count the days down to when the SEC will begin enforcing Reg S-AM - the affiliate marketing rule. The compliance date had been ...

Satisfying SEC examiners when it comes to best execution could be as simple as having a process that seeks best execution and routinely following it ...

    Investments Advisers Act of 1940 Section 206(4) and Rule 206(4)-1(a)(2) The TCW Group, Inc. November 7, 2008   RESPONSE OF THE OFFICE OF ...