The Securities and Exchange Commission (SEC) is intensifying its scrutiny of registered investment advisors (RIAs) for violations of the Marketing Rule 206(4)-1 under the Investment Advisers Act, ...

The US Securities and Exchange Commission (“SEC”) recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 (“Marketing Rule”) under the Investment Advisers ...

While digital marketing has continued to drive growth among RIA firms, the most successful efforts are those that cut across different channels, while still ignoring the noise and staying focused on ...

In the fall, it will be two years since the compliance deadline for the SEC Marketing Rule for investment management firms, but how are firms ensuring that they stay within the rules? A new report ...

Sumitomo Mitsui Trust Asset Management (SuMi TRUST) has established a new investment marketing team in its Luxembourg office, to strengthen its relationship with EU-based investors. As part of ...

The SEC recently settled charges against five registered investment advisers for violations of the marketing rule (“Marketing Rule”) under the Investment Advisers Act of 1940 (“Advisers Act”).[1] ...