2024 Risk Alert on the Marketing Rule for SEC Registered Investment Advisers

On 17 April 2024, the SEC Division of Examinations issued a Risk Alert regarding investment advisers’ compliance with amended Rule 206(4)-1 (the “Marketing Rules”). The Risk Alter includes observations into compliance and reporting regarding the Marketing Rule on the:

• Compliance Rule
• Books and Records Rule
• Form ADV Marketing Rule items
• General Prohibition of the Marketing Rule