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The Custody Rule

May 2018 The majority of advisers to Pooled Investment Vehicles that operate on a calendar year recently passed a significant deadline on April 30.   …read more

2018 SEC Examination Priorities

February 2018 The SEC announced its Office of Compliance Inspections and Examinations’ (OCIE) 2018 priorities. Hedge fund managers, private equity firms and broker-dealers should pay …read more