For Lawyers | Log In | Join | Upload
WORKING... advanced
David Smyth

David Smyth

Brooks Pierce


Latest Posts › Asset Management Unit

Share:

SEC’s Asset Management Unit Focuses on Compliance Failures, Vol. 2

As we discussed last month, the SEC’s Asset Management Unit has developed a likeness for not just big, headline-grabbing cases, but relatively small compliance-based cases that are designed to prevent minor problems from...more

12/19/2012 - Asset Management Unit Books & Records Compliance Investment Adviser Registration SEC

×

Expand Your Reach

JD Supra gets your content noticed, increases your visibility and makes your marketing efforts hassle free...

Learn More  or  Schedule a demo

Start a limited-feature trial account (individuals only).