Anna Rips

Anna Rips

Paul Hastings LLP

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SEC Department of Examinations Issues Risk Alert on Marketing Rule Deficiencies

Last week, the Securities and Exchange Commission’s Division of Examinations (“DOE”) issued a Risk Alert (the “Alert”) entitled “Initial Observations Regarding Advisers Act Marketing Rule Compliance.” The Alert describes...more

4/29/2024  /  Compliance , Documentation , Investment Adviser , Marketing , Registered Investment Advisors , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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