We discuss the use of Cooperation Agreements between firms and the SEC, the implications of the AXA Rosenberg case for your firm, and how aberrational performance inquiry may reveal where your firm appears on the SEC’s radar.
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- New Form ADV: What you need to know to file your Annual Updating Amendment
- Due Diligence of Sub-Advisers and Other Third-Parties
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
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