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On August 14, 2018, the SEC settled an enforcement action involving a Registered Investment Adviserfalse
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As a compliance consultant, I have seen many versions of compliance policies and procedures forfalse
5 minute read
It’s summer time, sunscreen in your pocket while you’re vacation to a popular, sunny getaway…or afalse
6 minute read
As you know, unlike MFIDII or other pan-European regulations, the General Data Protectionfalse
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Not to be confused with the blues song, “Long Tall Sally,” the SEC’s new research tool, SALI, canfalse
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Although basketball is a team sport, one-on-one games are great exercise. Typically, players callfalse
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On March 22, 2018, a final judgment was entered against an investment adviser who was the formerfalse
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This time of year, it is common practice for broker-dealers (“BDs”) to take a close look at theirfalse
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Just as investment advisers implement an asset allocation strategy to benefit their clients,false