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1/19/2017
The client often communicated with his adviser via e-mail. But this time things were different. Multiple staffers at the firm received an e-mail purpo...
1/19/2017
A failure to adopt and implement compliance P&Ps reasonably designed to ensure its clients weren’t overbilled according to the terms of their advisory...
1/18/2017
You need to go back to August 2011 when Exchange Act rule 21F-17 (staff communications with individuals reporting possible securities law violations) ...
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