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Compliance Best Practices

Family having an Easter yard sale in their garden in the North East of England. One of the sellers has down syndrome and is being handed money by a customer.
Advisers take various positions when it comes to making charitable contributions—either as a firm or by an access person
'Greenwashing' a target-rich environment
'Being reactive is no longer an option'
Private equity continuation funds should “maximize value” for the fund’s existing limited partners and LPs who roll into a continuation fund “should be no worse ...
As dollars shrink, fraud risks come in three waves, experts warn
The CCO requests the documents annually but reserves an even more sophisticated review every three years. It pays a cybersecurity firm to conduct detailed due ...
Explosive growth has caused friction between advisers, investors
Before engaging in a principal trade, an adviser would first have to disclose certain information to the client
Firms caught in 'double whammy'
How to make sense of the new rules

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