Insights
Client Alerts
SEC Enforcement Continues Thematic Focus on Hypothetical Performance
April 17, 2024
By Brad Bondi,Anna Rips,Ryan Swan,Michael Wheatley
and Mark Raymond
The SEC charged five more registered investment advisers with violating the Investment Advisers Act’s Marketing Rule by advertising hypothetical performance on their websites without adopting appropriate policies and procedures, among other violations.
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SEC Updates for Private Funds: Private Fund Rule Litigation and Marketing Rule FAQ
February 12, 2024
Contributors
Michael Wheatley
Of Counsel, Investigation & White Collar Defense
Email
Washington, D.C.: +1-202-551-1702