Mark S. Audet
Proskauer Rose LLP
Articles
Results 1 to 4 of 4
SEC Breaks its Silence on the New Marketing Rule's Net Performance Requirements
USA - January 18 2023 The SEC staff has issued an FAQ related to amended Rule 206(4)-1 under the Investment Advisers Act (the “Marketing Rule”) clarifying that the…
Regulation of Custodial Practices Under the Investment Advisers Act of 1940 Rule 206(4)-2
USA - November 22 2022 The SEC has regulated custodial practices of investment advisers since 1962, when it first adopted rule 206(4)-2 (the “Custody Rule”) under the…
SEC Issues Risk Alert Announcing Exams Focused on New Marketing Rule
USA - September 22 2022 On Monday, September 19, 2022, the SEC's Division of Examinations issued a Risk Alert announcing their intent to conduct targeted reviews of…
SEC proposes ESG reporting and disclosure requirements for private fund advisers
USA - June 13 2022 On May 25, the Securities and Exchange Commission (“SEC”) issued proposed rules under the Investment Advisers Act of 1940 (“Advisers Act”) for…
