The SECs Philadelphia District office has launched a mini-sweep focusing on advisers use of performance advertising. The August 3 sweep letter asks for all marketing materials containing performance information sent to current, former, and prospective clients during 2001, 2002, and 2003. It also asks for third-party questionnaire responses submitted during that period, RFP responses during 2003, […]
The CFA Institute (formerly known as AIMR) is looking for comments on its proposed changes to its code of ethics and standards of professional conduct. The comment period ends July 31. The group also is seeking comments on its proposal to modify the GIPS standards. That comment period ends August 1.