SEC cites adviser duty to preserve e-comm
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 rule. Some may consider this to be a legal stretch
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 rule. Some may consider this to be a legal stretch
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