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compliance
5 minute read
On December 22, 2020, the SEC adopted a modernized Marketing Rule, which will govern advertisements...
3 minute read
In his opening remarks at the National Investment Adviser/Investment Company Compliance Outreach...
3 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
5 minute read
The SEC’s Office of Compliance Inspections and Examinations (“OCIE”) published a risk alert on...
2 minute read
While the pandemic has given us many personal and professional challenges and considerations, a...
5 minute read
Since the publication of our March 18, 2020 blog from Les Abromovitz – Coronavirus Pandemic Creates...
3 minute read
According to an Investment News article written by Mark Schoeff Jr. and posted on March 11, 2020,...
3 minute read
On September 4, 2019, The Securities and Exchange Commission’s (“SEC”) Office of Compliance...
4 minute read
Rule 206(4)-1 under the Investment Advisers Act, better known as the Advertising Rule, prohibits...