Joanne Saint Louis

Apr 24, 2024 | lexology.com | W. Hardy Callcott |Chuck Daly |Elizabeth Shea Fries |Victoria A. Anglin |Joanne Saint Louis

On April 18, 2024, the U.S. Securities and Exchange Commission (SEC) Division of Examinations (EXAMS) issued a Risk Alert summarizing the staff’s preliminary observations from examinations involving the compliance by registered investment advisers with Rule 206(4)-1 of the Investment Advisers Act of 1940, as amended (the Marketing Rule).