Can we say that now? That’s what attendees at the recent CSS Compliance Conference in Scottsdale, Arizona wanted to find…
marketing Tag
We’ve all been there before…you get a request to review marketing materials, and there’s urgency to it. Great! You’ve successfully…
The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…
Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations…
When it comes to advertising, processes, procedures, and disclosure matter. Not everyone in a firm will understand the importance of…
A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge…
Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics…