Category: Articles & Publications

PRIVATE FUNDS MANAGER: Splitting the Difference: SEC vs NFA Exams

THINKADVISOR: Practical Tips to Prepare for an SEC Exam

MONEY MANAGEMENT EXECUTIVE: Conducting a Stronger Compliance Review

INVESTMENT NEWS: Brace Yourself for More SEC Exams

HEDGE FUND LEGAL AND COMPLIANCE DIGEST: Best Practices to Avoid Regulatory Scrutiny for Hedge Fund Managers Structuring an Outsourced Compliance Relationship (Part One of Two)

IGNITES: Five-Step Cybersecurity Checklist for Fund Firms

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