Most Common Advertising Rule Compliance Issues Raised in OCIE Deficiency Letters

As a matter of routine business practice, advisers should review their advertisements and promotional materials to ensure compliance with Rule 206(4)-1 of the Advisers Act. Advisers should also regularly review the adequacy and effectiveness of their compliance programs and procedures. The SEC’s Office of Compliance Inspections and Examinations (OCIE) recently issued a risk alert identifying […]