SEC Charges Five Registered Investment Advisers for Marketing Rule Violations
By EsqSocial Corporation 18/04/24
The US Securities and Exchange Commission (“SEC”) recently settled charges against five registered investment advisers for violations of Rule 206(4)-1 (“Marketing Rule”) under the Investment Advisers Act of 1940, as amended (“Advisers Act”), resulting in $200,000 in combined civil money penalties....
By: Mayer Brown