Advertising/Marketing

Substantiation requirements give regulators entre into private funds' vaults

New marketing rule intersects with old valuation problems

Still no sign that a widely anticipated SEC sweep looking at compliance with the new advertising rule has commenced. Yet examiners are asking lots of ...

Form ADV responses reveal a chill in using the new ad rule’s flexibility

Thanks to K&L Gates and Michael Caccese and Pamela Grossetti for giving RCW permission to share their checklist with you

This chart, which comes courtesy of Michelle Jacko, managing partner of Jacko Law Group and CEO of Core Compliance & Legal Services in San Diego

However you approach valuations, approach them carefully

Polarization seeps into finreg

In a few days, the SEC will have answers from most advisers about their use of the new ad rule via several new Form ADV ...

Re-papering agreements. Establishing new compliance P&Ps. Reining in marketer expectations. While the new SEC IA ad rule will give you great flexibility, it also hands ...