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August 29, 2017
The Second Circuit Upholds former SAC Capital Manager’s Conviction and Expands the Supreme Court’s Personal Benefit Rule
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August 25, 2017
Considerations Presented By Amended Form ADV Effective October 1, 2017
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August 23, 2017
August 2017 Compliance Flash
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August 10, 2017
SEC Risk Alert urges broker-dealers, investment advisers, and investment companies to improve cybersecurity
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August 3, 2017
FATCA and CRS News Alerts – August 2017
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August 3, 2017
Partner Rob Van Grover authored an article in the Journal of Investment Compliance titled, “Pay to Play Violations: An SEC Focus.”
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July 27, 2017
SEC Speaks Out on ICOs, Cautions That Some May Involve Offering of Unregistered Securities
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July 26, 2017
Division of Investment Management Responds to Questions Regarding New Fund Reporting Rules
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June 29, 2017
CFTC Modernizes Recordkeeping Rule
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June 28, 2017
Certain Key Compliance Topics for Private Equity Fund Advisers
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June 26, 2017
Reminder: Amendments to Form ADV and the Books and Records Rule Become Effective on October 1, 2017
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June 22, 2017
Q&As — Now That the DOL’s Fiduciary Rule Is Applicable
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June 6, 2017
The Supreme Court Holds 5-Year Statute of Limitations Applies to Disgorgement
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June 5, 2017
June 2017 Compliance Flash
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May 31, 2017
New Rules to Modernize Reporting Obligations of Registered Investment Companies
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