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Legal Risk Management Tips

ERISA 408(b)(2) Disclosures: Are You Ready?

June 1, 2012

ERISA 408(b)(2) Disclosures Are You Ready?

Legal Risk Management Tips

Proposed Legislation Could Mean SRO Oversight For Investment Advisers

May 31, 2012

Proposed Legislation Could Mean SRO Oversight For Investment Advisers

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FINRA Enhances BrokerCheck Capabilities

May 26, 2012

FINRA Enhances BrokerCheck Capabilities

Annual Reviews & Risk Assessments

Reuters Releases Report Detailing HSBC’s Deficient Policing of Money Laundering Risks

May 18, 2012

Reuters Releases Report Detailing HSBC’s Deficient Policing of Money Laundering Risks

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New York High Court Rejects Unlawful Termination Claim by Hedge Fund Compliance Officer

May 10, 2012

New York High Court Rejects Unlawful Termination Claim by Hedge Fund Compliance Officer

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ERISA Rule 408b-2 Disclosure Deadline Looms

April 19, 2012

ERISA Rule 408b-2 Disclosure Deadline Looms

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