This browser is not actively supported anymore. For the best passle experience, we strongly recommend you upgrade your browser.
Site Search Submit
Menu icon Close menu icon Search icon Search close icon
List Professionals Alphabetically
A B C D E F G H I J K L M N O P Q R S T U V W X Y Z View All
Search Professionals
Site Search Submit
All Posts
| less than a minute read

SEC Risk Alert on the Advisers Act Marketing Rule

Burning sparks flying. Beautiful flames. Fiery orange glowing flying away particles on black background.

Get in touch

Avatar
Richard Marshall
Partner, Financial Markets and Funds

Get in touch

Avatar
Richard Marshall
Partner, Financial Markets and Funds

On December 16, the Securities and Exchange Commission (SEC) published a risk alert on the adviser marketing rule. 

This is the first risk alert published by the SEC in over a year. The risk alert “addresses observations regarding advisers’ satisfaction of disclosure requirements and oversight and compliance practices under the Testimonials and Endorsements Provisions, as well as advisers’ due diligence and disclosure requirements under the Third-Party Ratings Provisions.”

Stay tuned for Katten’s detailed summary of this important risk alert, coming soon.

Tags

asset management, financial markets and funds, financial regulation, financial regulatory, fmle, propriety trading firms

Get in touch

Avatar
Richard Marshall
Partner, Financial Markets and Funds

Get in touch

Avatar
Richard Marshall
Partner, Financial Markets and Funds

Latest Insights