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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...
Admin
Dec 18, 20182 min read


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...
Admin
Feb 23, 20182 min read
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