Insights
Client Alert
SEC Enforcement Continues Thematic Focus on Hypothetical Performance
April 17, 2024
By John L. Budetti,Brad Bondi,Anna Rips,Ryan Swan,Michael Wheatley,& Mark Raymond
The SEC charged five more registered investment advisers with violating the Investment Advisers Act’s Marketing Rule by advertising hypothetical performance on their websites without adopting appropriate policies and procedures, among other violations.
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