Speak To A Live Person: 888.302.4594 Request A Demo

Modernized Marketing Rule for Investment Advisers - iars

Monday, January 25 2021

Blog

Modernized Marketing Rule for Investment Advisers

On December 22, 2020, the SEC announced the Modernized Marketing Rule’s finalization for investment advisers. These rules were developed under the Investment Advisers Act of 1940 and have not been... [...]

Thursday, August 9 2018

IA Compliance News

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Submitted by: Scotty Franks, Senior Compliance Consultant, Red Oak Compliance Solutions The Securities and Exchange Commission (“Commission”) fined deVere USA, Inc. (‘DVU”) $8 million for failure to stay in compliance... [...]

AdMaster
Articles
BD Compliance
Blog
Checklists
Conferences and Events
Cybersecurity
Executive Briefs
IA Compliance
Integrations
News
Partners
Press Release
Regulatory Alerts
Webinars
White Papers

Modernized Marketing Rule for Investment Advisers - iars

Modernized Marketing Rule for Investment Advisers

Investment Adviser Fined for Insufficient Conflict of Interest Disclosures

Categories

Get Started