Additional Observations Regarding Advisers’ Compliance with the Advisers Act Marketing Rule

The Division of Examinations published a Risk Alert to promote compliance with the Marketing Rule. The Risk Alert addresses observations regarding advisers’ satisfaction of disclosure requirements and oversight and compliance practices under the Testimonials and Endorsements Provisions, as well as advisers’ due diligence and disclosure requirements under the Third-Party Ratings Provisions.  

View the Risk Alert: Investment Advisers: Additional Observations Regarding Advisers’ Compliance with the Advisers Act Marketing Rule