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This sounds counter-intuitive because the unvarnished truth could steer clients away from the product, but “whatever else you say, tell them all of the bad ...
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All advisers, even exempt reporting advisers, will be subject to the preferential treatment rule
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You may be tempted to note February as the month of FinCEN when it comes to new regulations potentially affecting your firm. The latest proposal ...
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In the new legal cases targeting advisers, the SEC cited their responsibilities under Advisers Act section 204 (reports by IAs) and the books and records ...
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The Commission’s new regulatory agenda lists several upcoming new IA and B-D rules—all of which the agenda states are due to be finalized in April
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FinCEN wouldn’t mandate that an RIA’s CCO oversee its AML program. However, it does point out that “the presence of a compliance officer may reduce ...
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This is FinCEN's proposed rule to require investment advisers to file SARs
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The Firms failed to keep for prescribed periods, and furnish copies of, such business–related records as necessary or appropriate in the public interest or for ...

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