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February 5, 2021
Memo to Clients 2021 – Annual Reminders
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February 1, 2021
Client Alert: On GME and Recent Market Volatility
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January 26, 2021
IRS Releases Final Regulations on Three-Year Holding Period
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January 26, 2021
SEC Adopts New Investment Adviser Marketing Rule
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December 30, 2020
SEC Charges BlueCrest Capital Management for Concealed Conduct that Favored a Proprietary Fund at the Expense of its Flagship Client Fund
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December 29, 2020
SEC OCIE Issues Risk Alert on Observations from Examinations of Broker-Dealers and Investment Advisers regarding Large Trader Obligations
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December 28, 2020
SEC Adopts Amendments to the Exempt Offering Framework: Considerations for Private Fund Managers
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December 24, 2020
SEC Adopts Investment Adviser Marketing Rule
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December 9, 2020
Counsel Chris Carlson authored an article titled, “Fund Delivery Obligations for Section 19(a) Notices,” which was published in Investment Lawyer.
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November 30, 2020
“Non-EU Managers and the SFDR – Who Does it Impact? and How?”
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November 30, 2020
SEC OCIE Issues Risk Alert on Observations on Investment Adviser Compliance Programs
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November 24, 2020
SEC OCIE Issues Risk Alert on Observations from Examinations of Investment Advisers with Multiple Branch Offices
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November 6, 2020
Reminder: 2021 IARD Renewal Program
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November 6, 2020
SEC Approves Proposed Order Exempting Certain Finders from Broker Registration Requirements
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October 29, 2020
2019/2020 Hedge Fund Side Letter Study
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