The Securities and Exchange Commission proposed reforms to two rules under the Investment Advisers Act of 1940 relating to how advisers advertise to and solicit clients and investors. The first rule, ...
In our previous alert, we noted the statement of the European Securities and Markets Authority (ESMA) encouraging market participants and national competent authorities in EU member states to prepare ...
November 4 is the compliance date for the new rule governing advertising and solicitation activities by investment advisers. The new rule substantially revises decades old authorities governing this ...
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