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SEC Provides Guidance To Newly Registered Investment Advisers - Securities

The Securities and Exchange Commission (the SEC) routinely prepares Division Risk Alerts to provide helpful information to federally registered investment advisers (advisers). On March 27. ....

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SEC Provides Guidance to Newly Registered Investment Advisers | Lowenstein Sandler LLP

The Securities and Exchange Commission (the SEC) routinely prepares Division Risk Alerts to provide helpful information to federally registered investment advisers (advisers). On March. ....

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SEC Warns Newly-Registered Advisers to Avoid Three Common Missteps | Patterson Belknap Webb & Tyler LLP

The U.S. Securities and Exchange Commission’s Division of Examinations (“the Division”) issued a new Risk Alert on March 27, 2023 that takes newly-registered investment advisers to task. ....

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SEC's Division of Examinations Issues Risk Alert Regarding MNPI-Related Compliance Issues for Investment Advisers | Shearman & Sterling LLP

On April 26, 2022, the Division of Examinations (the “Division”) of the Securities and Exchange Commission issued a Risk Alert listing notable examples of deficiencies that its staff. ....

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SEC's Division Of Examinations Issues Risk Alert Regarding MNPI-Related Compliance Issues For Investment Advisers - Securities

Section 204A requires investment advisers to establish, maintain and enforce written policies and procedures reasonably designed to prevent misuse of MNPI by advisers and their associated persons. ....

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