News & Analysis as of

Cash Solicitation Rule Referral Fees

Kramer Levin Naftalis & Frankel LLP

Poor Compliance With Cash Solicitation Rule Prompts OCIE Risk Alert

Faced with various compliance issues related to the ‘cash solicitation rule’, the Staff issued a risk alert to inform market participants and help advisers update their policies accordingly....more

1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide