The New Investment Adviser Marketing Rule: Implications for CLO Managers and Arrangers | Seward & Kissel LLP

On December 20, 2020, the SEC adopted reforms under the Advisers Act which modernized rules that govern investment adviser advertising and payments to solicitors. On September 19, 2022, the SEC Division of Examinations published a Risk Alert to inform Advisers that examinations will soon be focused on compliance with the Marketing Rule commencing on November 4, 2022.

Please see full Alert below for more information.