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In this issue, we cover regulatory developments impacting the investment management sector, including the Securities and Exchange Commission’s (SEC’s) focus on the annual 15(c) advisory...
The Coronavirus Aid, Relief, and Economic Security (CARES) Act assigned the U.S. Department of Treasury Office of Inspector General (OIG) responsibility for compliance monitoring and...
On November 18, 2021, the Securities and Exchange Commission (the "SEC" or the "Commission") voted unanimously to propose a rule (the "Proposed Rule") requiring any person...