The Securities and Exchange Commission’s Division of Examinations (the Division) recently issued a Risk Alert (Alert) titled “Additional Observations Regarding Advisers’ Compliance with the Advisers ...

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 ...

In anticipated amendments to guidance on the Securities and Exchange Commission’s marketing rule, the regulator’s Division of Investment Management has lightened the burden for registered investment ...

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 ...

RIYADH — Minister of Investment and Chairman of the Board of Directors of the newly established Saudi Investment Marketing Authority Eng. Khalid Al-Falih said that the authority will contribute to ...