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Investment Adviser Core Compliance Program Symposium
Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements

August 16, 2022
3:15 - 5:15 p.m. ET
The SEC’s anti-fraud rules pursuant to Section 206 of the Investment Advisers Act of 1940 lay the regulatory foundation of the adviser’s relationship with its clients. Rules promulgated under Section 206 prohibit an adviser from defrauding, deceiving or manipulating any client or prospective client in its business practices.

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