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Family Office to Tech Billionaires Dials Back What It Says on Ethics

"Just say less" is becoming the new approach of private fund managers. ....

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SEC warns newly registered advisors of marketing rule shortcomings

Compliance experts say financial advisors who boast publicly about their investment prowess should make sure they have support for their claims. ....

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SEC Closes Loopholes on Insider Trading Plans, States Get Tough on Data Protection, More States Send IARs to School and Form 13F Gets a Makeover: Regulatory Update for February 2023 | ACA Foreside

Welcome to our February installment of ACA’s Regulatory Update. This month, we share updates relevant to broker-dealers and investment advisers as the SEC adopted amendments to Rule. ....

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The SEC Speaks and the Industry Listens – 2022 Exam Priorities and Guidance to Comply with Reg BI & Fiduciary Standards: Regulatory Update for April 2022 | Foreside

For Investment Advisors + Broker-Dealers - SEC Announces Annual Examination Priorities for 2022. Continuing a tradition begun a decade ago, the SEC’s Division of. ....

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SEC Frowns on Private Equity Fee Offset Calculations, Hedge Clauses, and Backtested Performance: Lessons Learned and Worth Reading for February 2022 | Foreside

LESSONS LEARNED - SEC Rules that Investors Win in Battle over Inconsistent Documentation. A private fund advisor learned that the details matter in this case brought by t. ....

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