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SEC issues risk alert on Marketing Rule compliance
The latest SEC Risk Alert details observations of investment adviser compliance with the Marketing Rule from its exams staff.
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SEC charges five investment advisers in Marketing Rule enforcement sweep
The SEC charged five RIAs for Marketing Rule violations, pointing to misleading and improper hypothetical advertising in particular.
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SEC sweep: Nine firms charged with Marketing Rule violations
The SEC said the charged firms advertised hypothetical performance to mass audiences on their websites without having the required policies and procedures.
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SEC charges firm for paying ‘finfluencers’ and violating former Cash Solicitation Rule
In its second Marketing Rule enforcement announced this week. SEC charges firm for paying ‘finfluencers’ without proper disclosure in place.
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Fintech IA is charged in first violation of SEC’s amended marketing rule
The SEC announced charges against the NY-based fintech investment adviser for using hypothetical performance metrics in advertisements that were misleading, plus misleading disclosures.
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SEC issues further clarification as advisers struggle to get to grips with new marketing rule
Implementing the biggest change in 60 years is proving a substantial challenge for advisers.