The federal regulator's latest notes give compliance teams breathing room on endorsements, while emphasizing its view on the use of actual vs. model fees when presenting portfolio performance.
On June 8, 2023, the Division of Examinations (the “Division”) of the U.S. Securities and Exchange Commission (“SEC”) issued its second Risk Alert (the “2023 Risk Alert”) on the amended Rule 206(4)-1 ...
The Securities and Exchange Commission’s Division of Examinations (the Division) recently issued a Risk Alert (Alert) titled “Additional Observations Regarding Advisers’ Compliance with the Advisers ...
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