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Investment Advisers: SEC Examination Priorities for 2024

October 31, 2023 by

The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.

The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule.  … Read More

Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services

Investment Companies: SEC Examination Priorities for 2024

October 27, 2023 by

The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.

The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule.  … Read More

Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services

SEC Cracks Down on New Marketing Rule: Titan Global Fined Over $1 Million.

August 23, 2023 by

The U.S. Securities and Exchange Commission has charged Titan Global Capital Management over $1 million for violating the SEC’s new marketing rule. The New York-based RIA was charged with misrepresenting hypothetical performance metrics in advertising when it promoted a crypto investment strategy with returns as high as 2,700%.

The company is the first to face SEC enforcement actions under the new Marketing Rule, setting the precedence that the SEC is paying close attention to advisers who disregard or fail to meet the requirements of the investment adviser Marketing Rule.  … Read More

Blog | Breakaway & Transition | Investment Adviser Regulatory Counsel (SEC & State) | Investment Advisers | Legal Risk Management Tips | Regulatory Compliance | Regulatory Examinations & Enforcement Counsel | Succession Planning Counsel | Transition & Breakaway Services

SEC Proposes Rules on the Use of Predictive Data Analytics

August 1, 2023 by

On July 26, 2023, the US Securities and Exchange Commission (SEC) adopted the cybersecurity risk rules relating to the reporting of incidents, processes, and procedures, as well as governance, in an ongoing effort to promote transparency and trust in US investment markets.… Read More

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