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Searching Content indexed under Media, Telecoms, IT, Entertainment by Christopher Wells ordered by Published Date Descending.
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SEC Flags The Top Six Advertising Rule Deficiencies For Investment Advisers
The SEC staff recently published an alert highlighting the most common deficiencies seen in investment advisers' marketing materials.
United States
28 Sep 2017
2
SEC Issues Risk Alert On The Most Frequent Advertising Rule Compliance Issues And Use Of Accolades In Advertisements
On September 14, 2017, the staff of the SEC's OCIE issued a National Examination Program Risk Alert on the most frequent advertising rule compliance issues identified in OCIE examinations...
United States
27 Sep 2017
3
Cybersecurity Guidance For Registered Investment Advisers
The Guidance Update provides several measures that advisers may wish to consider when creating a cybersecurity policy.
United States
6 May 2015
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