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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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Contributors

Image: Brad Bondi
Brad Bondi

Partner, Litigation Department


Image: Anna Rips
Anna Rips

Partner, Corporate Department


Image: Ryan Swan
Ryan Swan

Partner, Corporate Department


Image: Michael Wheatley
Michael Wheatley

Of Counsel, Litigation Department


Image: Mark Raymond
Mark Raymond

Associate, Corporate Department