Shareholder
Associate
Investment Management
SEC Amends Forms N-PORT and N-CEN and Provides Liquidity Risk Management Program Guidance
SEC Sweep Exam on Adviser T+1 Compliance
DOL Fiduciary Rule Stayed
FinCEN Issues Final Rule on AML Program for Investment Advisers
SEC Will Not Seek En Banc Review of Private Fund Rules
SEC Persists in Off-Channel Communication Enforcement as Total Fines Exceed $2 Billion
SEC Charges Pay-To-Play Violation
Transfer Agent Charged for Failing to Protect Client Funds from Cyber Attacks
Federal Ban of Non-Competes Held Unlawful by Federal Court
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