The first new FAQ revisits a sensitive area for marketing teams: endorsements from individuals with disciplinary histories. The marketing rule generally prohibits advisors from compensating anyone who ...
1don MSN
Confused about how to report performance, testimonials in ads? SEC offers answers in FAQ update.
The Securities and Exchange Commission is seeking to clarify how advisors should calculate fees to determine net performance and when a person with a disciplinary record is eligible to offer ...
On 3 April 2020, ESMA published its final report on guidelines regarding performance fees in UCITS and certain types of AIFs, including the guidelines, as appendix IV (the Report). On 5 November 2020 ...
After completing an examination of 130 registered investment advisors, the SEC issued a warning in mid-November that advisors may be violating their fiduciary duties and securities laws because of ...
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