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Ropes & Gray's Investment Management Update August – September 2023 - Fund Finance

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry. ....

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Road Map for an Examination: SEC Examination Risk Alert Lays Out SEC Examination Strategy Considerations | K&L Gates LLP

For registered investment advisers, examinations by the Securities and Exchange Commission (SEC) are a part of doing business. While an SEC examination is inevitable, many advisers have. ....

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