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SEC and Self-Regulatory Organizations Increasingly Focus on Investment Advisory Compliance  


Author:  Michelle L. Jacko.; Philip M. Posner.; Tina Mitchell.


Source: Volume 21, Number 01, September/October 2007 , pp.28-36(9)




Journal of Taxation and Regulation of Financial Institutions

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Abstract: 

Over the last two years, investment advisers have experienced increased scrutiny of their compliance programs and heightened regulatory focus by the Securities and Exchange Commission, self regulatory organizations, and states. Chairman Donaldson has correctly noted: “Opportunity may only knock once, but temptation leans on the doorbell.”

Keywords: Carried Interest; insider trading; risk management procedures; investment advisor conflict of interest

Affiliations:  1: Core Compliance & Legal Services, Inc.; 2: Core Compliance & Legal Services, Inc.; 3: Core Compliance & Legal Services, Inc..

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