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Boston adviser learns value of good compliance officer
'Broken windows' gets industry workout
Peirce decries 'poorly conceived' rule
'Compliance, really, is a risk mitigation strategy.'
The CCO also can lay down the foundation by creating P&Ps that correspond to how fund documents address expense allocation
Eighty-five percent of firms were victim of at least one fraud last year
Financial Services' Republicans see 'a backdoor accredited investor standard'
A New York private fund adviser didn’t bother to audit one of its foreign funds for nearly a decade, and then was months late getting ...
Hudson and Lone Star Global failed to fully disclose Hudson’s practice for calculating and charging certain fees. Hudson charged $54.6 million in incremental and undisclosed ...
Enforcement deadline looms

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