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Targeting Adviser Compliance Deficiencies

Publisher: Law360
December 12, 2011
Day Pitney Co-author(s) Henry Nelson Massey, R. Scott Beach

Law360 published a recent Day Pitney client alert that looked at the SEC's crackdown on investment adviser firms with compliance deficiencies. The article highlights three examples of the types of penalties the SEC could impose on advisers (and possibly chief compliance officers) that disregard SEC regulations.

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