In the News Press Release

Client Alert on SEC Crackdown on Investment Adviser Compliance Deficiencies Published by Law360

Publisher: Law360
December 12, 2011

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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