Simpson Thacher Attorneys Author Article on SEC Marketing Rule Settlements
10.23.23
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Partners Marc Berger, Michael Osnato, David Blass and Meaghan Kelly authored an article published by NYU School of Law's Compliance & Enforcement Blog titled, “SEC Marketing Rule Settlements Total 10 Before One Year Anniversary of Compliance Date.” The piece discussed SEC settlements that were reached with 10 registered investment advisers for violations of the amended Marketing Rule. The article went on to further explore what these actions signal for the SEC’s scrutiny of compliance with the amended rule and offered takeaways for registered investment advisors to ensure they do not run afoul of the Marketing Rule.
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