Examinations Focused on Additional Areas of the Adviser Marketing Rule

The Division of Examinations is publishing this Risk Alert to inform investment advisers, including private fund advisers, about additional areas of emphasis during examinations focused on the amended Marketing Rule.  The Risk Alert sets forth these additional areas, which include (1) testimonials and endorsements; (2) third-party ratings; and (3) Form ADV.  

View the Risk Alert: Examinations Focused on Additional Areas of the Adviser Marketing Rule.