By Kyle Brasseur2023-06-08T19:07:00
The Securities and Exchange Commission (SEC) is expanding its examination focus regarding investment advisers’ compliance with its new marketing rule.
The SEC’s Division of Examinations issued a risk alert Thursday reiterating its initial areas of review for marketing rule compliance while also noting three additional areas of exam focus. The agency in September flagged its initial review focuses, which included policies and procedures, substantiation requirements, performance advertising requirements, and books and records.
The new alert adds testimonials and endorsements, third-party ratings, and Form ADV as aspects of the rule the agency will be scrutinizing.
2023-09-12T18:13:00Z By Kyle Brasseur
Nine investment advisers agreed to pay a total of $850,000 in penalties across separate settlements with the Securities and Exchange Commission addressing alleged violations of the agency’s amended marketing rule.
2023-09-07T13:26:00Z By Kyle Brasseur
How the Securities and Exchange Commission determines which investment advisers to inspect and what areas those examinations typically cover were among subjects addressed in a new risk alert released by agency staff.
2023-08-22T20:10:00Z By Jeff Dale
The Securities and Exchange Commission ordered Titan Global Capital Management USA to pay more than $1 million for allegedly misleading investors with hypothetical performance metrics in its advertising.
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New regulations, changing consumer demands, and global supply chain disruptions – from cost-of-goods inflation to tariffs to raw material shortages, and more – are just a few top challenges reshaping the operations of food and beverage industry today. “These challenges are no longer just logistical—they implicate sourcing risk, contract performance, ...
2025-09-17T19:03:00Z By Ruth Prickett
More than half of all compliance teams are “actively using” or “piloting” AI applications, according to a Moody’s report. While most are focusing on streamlining routine tasks, some are developing AI agents and asking vital questions about AI decision-making.
2025-08-06T14:00:00Z By Aaron Nicodemus
The Trump administration’s designation of Mexican cartels as terrorist organizations in February has made doing business in Mexico riskier than ever before for corporations.
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