Sometimes, you have news to share that’s only mildly newsworthy, but your subject-matter experts have something interesting to say. Within the formal structure of a news release, you can make the news more engaging by including a Q&A. A good example in the asset management world is the occasion of a fund reaching an anniversary milestone, such as the [...]
This week the SEC announced its first charges under the new Marketing Rule that went into effect in May 2021. Tital Global Capital Management USA was fined $850,000 for “using hypothetical performance metrics in advertisements that were misleading” and for “multiple compliance failures that led to misleading disclosures about custody of clients’ crypto assets, the use of improper ‘hedge [...]
In the back-and-forth of working with clients to craft press releases, there are a couple of areas of … how to put this delicately … tension … that sometimes come up. Here, then, are some of the more common questions we get from clients when it comes to news releases and our responses when they ask “Why did you [...]
The window of time for SEC-registered investment advisors to conform to the new SEC Marketing Rule is drawing to a close. The new regulation became effective in May 2021 with an 18-month transitional period for RIAs to modify their compliance practices prior to enforcement. Starting Nov. 4, the SEC requires adherence to the new rules. Here we focus on [...]
