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SEC Examinations and Enforcement Update for Registered Investment Advisers: Transparency for SEC Exams, Marketing Rule Sweep, and More Custody Scrutiny | Morrison & Foerster LLP

A series of recent actions by the Securities and Exchange Commission (SEC) and its staff should prompt registered investment advisers (RIAs) to reassess their risk tolerance for some.

United statesTitan global capital management united statesDivision of examinations risk alert septSee in the matter of macroclimateAdvisory groupMorrison foersterExchange commissionDivision of examinations examsMorrison foerster llpMarketing ruleInvestment advisers actCustody ruleAdvisers actAdvisers act ruleNot yet receivedReport not yet received

MIL-OSI USA: SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both

MIL-OSI USA: SEC Charges Two Advisory Firms for Custody Rule Violations, One for Form ADV Violations, and Six for Both
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Emanuel vazquezKimberly frederickDan faigusGurbirs grewalKeith kanyanGary leungFrank goodrichPayam danialypourChris mulliganC dabney oriordanRidgeview asset management partnersPolaris equity management incGarrison investment groupDivision of examinationsJanus henderson investorsExchange commission