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Boston adviser learns value of good compliance officer
'Broken windows' gets industry workout
Ahuja engaged in a fraudulent scheme to inflate the value of securities held by several private investment funds managed by Ahuja and Premium Point. The ...
Peirce decries 'poorly conceived' rule
'Compliance, really, is a risk mitigation strategy.'
Instead of paying back Fund II during this time period, Respondent used the management fees it charged and collected for its own operating expenses
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'
Case may be illustration of right place, wrong time

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