What you can’t do under the SEC’s new ad rules

Seven no-nos under the SEC's new ad rules; sponsored Q&A from tech consultancy Lionpoint.

Compliance: The Securities and Exchange Commission dropped its 400-page-plus overhaul of the marketing rules right before Christmas, and industry pros are still wrapping their heads around much of it. But sister publication Regulatory Compliance Watch has “seven no-nos” for investment advisors to watch out for under the new rules.

Tech: GPs are hungry for swifter, smarter forecasts to cope with today’s extreme volatility, said Jonathan Balkin and Bill McMahon of tech consultancy Lionpoint in this sponsored Q&A from our Yearbook 2020. The year we just lived through is bound to leave many investment managers reluctant to predict what will happen next month, let alone over the life of the fund they just closed. And while there is no such thing as a true crystal ball, executive director Balkin and director McMahon tell us how GPs can get the most from their forecasting tools.

Email prepared by Graham Bippart