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How Not to Get Zapped by Electronic Communications

Admin

Dec 18, 2018
2 min

How Not to Get Zapped by Electronic Communications

On Friday, December 14, 2018, the Office of Compliance Inspections and Examinations ("OCIE") issued a Risk Alert, which encourages...

SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule

Admin

Feb 23, 2018
2 min

SEC Modifies Certain Liquidity Rule Compliance Dates and Issues New FAQs and Interim Rule

The SEC extended by 6-months certain requirements of Rule 22e-4 (the Liquidity Risk Management Program Rule ("LRMP"), Form N-PORT and...

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