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Write the Best Annual Compliance Review Ever! | SEC Compliance Consultants, Inc. (SEC³)

Many chief compliance officers struggle every year with preparing the annual review required under Advisers Act Rule 206(4)-7. To help you out, here’s our guide to writing your annual. ....

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Top Tips for Updating Your 2024 Compliance Program | SEC Compliance Consultants, Inc. (SEC³)

Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is. ....

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Taking Stock Of The Private Funds Rules Litigation After Oral Arguments At The Fifth Circuit - Dodd-Frank, Consumer Protection Act

On February 5, 2024, a three-judge panel of the US Court of Appeals for the Fifth Circuit heard oral arguments on the challenge to the "Private Funds Rules" issued. ....

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Taking Stock of the Private Funds Rules Litigation After Oral Arguments at the Fifth Circuit | Goodwin

On February 5, 2024, a three-judge panel of the US Court of Appeals for the Fifth Circuit heard oral arguments on the challenge to the “Private Funds Rules” issued by the Securities and. ....

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Adviser-led Secondaries, Annual Fund Audits, and Annual Compliance Review Documentation Breakdown | ACA Group

New Rules 211(h)(2)(1) and 21(h)(2)-3 were adopted by the U.S. Securities and Exchange Commission (SEC) on August 24, 2023, along with the rest of the Private Fund Adviser Rules. The. ....

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