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Update in Biozoom Case — Alleged Scheme Netted $34 Million in Illicit Profits

July 18, 2018

Update in Biozoom Case -- Alleged Scheme Netted $34 Million in Illicit Profits

Blog

The Importance of Identifying Conflicts of Interest — Texas-Based Municipal Advisor Lies to School District

July 11, 2018

The Importance of Identifying Conflicts of Interest -- Texas-Based Municipal Advisor Lies to School District

Legal Risk Management Tips

How Prepared Are You for an SEC Examination?

July 1, 2018

How Prepared Are You for an SEC Examination?

Blog

SEC Action Lookup for Individuals — Supporting the 2018 Exam Priorities With More Investor Protection Tools

June 28, 2018

SEC Action Lookup for Individuals -- Supporting the 2018 Exam Priorities With More Investor Protection Tools

Blog

Hedge Fund Adviser Inflated Fund Performance, but Even Firms in Compliance Need to Be Cautious

June 13, 2018

Hedge Fund Adviser Inflated Fund Performance, but Even Firms in Compliance Need to Be Cautious

Blog

Looming Deadline for Share Class Selection Disclosure — FAQs and What Firms Need to Know

June 7, 2018

Looming Deadline for Share Class Selection Disclosure -- FAQs and What Firms Need to Know

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