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Disclosure

JHP did not adequately disclose to the advisory boards of the affected Funds the potential conflicts of interest created by the undisclosed loans and cross-over ...
The Complaint alleged that YZ and Zhang used misleading and deceptive promotional material, in violation of NFA Compliance Rules 2-2(a), 2-29(a)(1), 2-29(b)(1) and (2). The ...
Fenway Consulting ultimately received an aggregate of $5.74 million from the Portfolio Companies during the Relevant Period. However, in contrast to the monitoring fees paid pursuant ...
It’s common for private equity limited partnership agreements to contain the right for the adviser to set up coinvestment vehicles. The term can mean many ...
It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails ...
The director of the SEC’s Division of Investment Management has taken to the stage a third time to drive home the Commission’s focus on alternative ...
You now have a second chance to weigh in on FINRA’s controversial Comprehensive Automated Risk Data System. The SRO is now seeking comment on a ...
NFA Compliance Rule 2-30(b) requires Members and Associates who are registered as brokers or dealers under Section 15(b)(11) of the Securities Exchange Act of 1934 ...
Four out of 10 financial professionals use social media for business purposes several times each week, according to American Century's latest annual survey released this ...
The phrase appears so often in SEC document request letters that it can be considered ubiquitous: examiners asking to see your "inventory of risks."But what ...
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