Advertising/Marketing

RCW has obtained evidence of the division’s latest sweep and it targets advisers that engage in hypothetical performance marketing

RCW has obtained a sweep letter from SEC Enforcement staff tied to the new ad rule

A lesson for compliance officers is that if your shop doesn't pay close enough attention to the rules, your firm could wind up with a ...

Fundrise clients were not fully informed of the content creators’ financial interests in promoting Fundrise’s investment advisory services and real estate investment platform and therefore ...

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 ...

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 ...

Sources describe this DOE exam letter as coming from the SEC's sweep exam tied to the new IA ad rule

Private fund advisers who hope the courts or voters will rescue them from an aggressive SEC are taking a big risk, compliance experts warned in ...

The survey shockingly revealed that nearly 9% of respondents "are still in the process of updating" their advertising/marketing P&Ps

'Shockingly low' compliance budgets collide with regulatory demands