Philip Graham

Philip Graham

Harney Westwood & Riegels

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Changes to SIBA's 'significant interest' provisions

An important part of the assessment of an applicant for a SIBA licence is to consider the fit and proper status of the persons who ultimately own and exercise control of the licensee. Section 11 of SIBA has always required...more

1/21/2013 - Investment Adviser Licenses Securities SIBA Significant Interest Written Consent

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