As hedge funds prepare for the quickly approaching implementation date for the US Securities and Exchange Commission’s (SEC’s) new marketing and advertising rule on November 4, partner Christine Lombardo speaks with InvestmentNews on what investment advisors can do to prepare.
“We haven’t gotten real guidance,” Christine said regarding compliance.
“[Advisers] want to comply. They want to understand how to do that in certain situations and what the SEC will view as compliant.”
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