SEC Staff Provides Guidance for Advisers Using Social Media on Compliance with General Prohibition on Testimonials
By EsqSocial Corporation 09/04/14
The staff of the SEC’s Division of Investment Management (the “Staff”) issued IM Guidance Update No. 2014-4 discussing how a registered adviser or its investment advisory representatives (“IARs”) may use public commentary about them that appears on...
By: Goodwin Procter LLP