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Mitigation of Investment Adviser Business Interruption and Regulatory Non-Compliance Risks Related to COVID-19

The SEC and CFTC grant conditional filing extensions as firms address business continuity and risks related to the pandemic. Conditional filing extensions are available to investment advisers and certain registered funds if...more

Deadline Looming for BE-10 Filing

- Mandatory reporting required by the Bureau of Economic Analysis on Form BE-10 – 2014 Benchmark Survey of U.S. Direct Investment Abroad - Investment managers, general partners, hedge funds and private equity funds are...more

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