Welcome to GRIP, Global Relay’s new digital information service on practical compliance and regulatory change.
Please enjoy this free trial of our subscription content service, for a limited time only.
Hedge clause
-
‘No choice but to litigate’ – US private fund groups sue SEC over new disclosure rules
Private fund groups sue the SEC, arguing its new regulations impose onerous disclosure requirements on private fund advisers.
-
Fintech IA is charged in first violation of SEC’s amended marketing rule
The SEC announced charges against the NY-based fintech investment adviser for using hypothetical performance metrics in advertisements that were misleading, plus misleading disclosures.