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SEC Regulation of Investment Advisers: Understanding the Impact

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The SEC's Office of Investor Education and Advocacy is issuing this guide to help investors understand the regulations of investment advisers.

A group of people standing around a table discussing financial regulations

Investors need to understand the regulations that govern the actions of investment advisers when it comes to safeguarding their clients' assets. With the compliance deadline for the new Marketing Rule being November 4, 2022, investors should be aware of the implications of the SEC's proposed Adviser Outsourcing Rule, which recently ended its comment period. Furthermore, the SEC's Division of Investment Management recently updated its guidance on the marketing and advertising of private funds.

Under the leadership of SEC Chairman Gary Gensler and Director of Investment Management Dalia Blass, sweeps have been initiated to ensure that investment advisers are meeting regulatory requirements and providing investors with the protections they are entitled to. To further protect investors, the SEC has put forth the idea of a fiduciary standard of care, which would require advisers to act in the best interest of their clients.

Sanctuary Advisors LLC, an SEC-registered investment adviser, has taken the initiative to provide investors with a comprehensive solution to the fiduciary dilemma. By utilizing the SEC's Investment Adviser Public Disclosure (IAPD) website, they are able to search for qualified investment advisers and compare the services they offer. Additionally, Sanctuary Advisors provides investors with access to their own proprietary ratings system, which enables investors to make informed decisions when selecting an investment adviser.

Those who are licensed as investment adviser representatives are required to register with the U.S. Securities and Exchange Commission (SEC). FINRA's BrokerCheck website will connect you to the SEC's site if the representative is registered with the SEC. Additionally, investors should be aware of the SEC's Form ADV, which must be filed by investment advisers in order to register with the SEC.

F/m has served as the investment adviser of each Fund since its inception. They provide investors with access to a wealth of information regarding the Funds, such as financial statements and reports, as well as a notice of the Special Meeting, which is necessary for investors to make informed decisions about their investments.

It is clear that the SEC is taking steps to protect investors and ensure that investment advisers are properly regulated. By utilizing the resources available to them, such as the IAPD website and FINRA's BrokerCheck website, investors can search for qualified investment advisers and make informed decisions about their investments.

secinvestment adviserinvestor educationinvestor advocacycompliance deadlinemarketing rulesec division of investment managementfiduciary standard of careinvestment adviser public disclosure (iapd)finra's brokercheckform adv

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