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Complete Issue (February 10, 2021)  Volume 54, Number 3


Author:  Richard D. Marshall (et al.).; Daren R. Domina (et al.).


Source: Volume 54, Number 03, February 1 2021 , pp.25-40(16)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue includes the full text of the two articles listed above in the table of contents: SEC Enforcement Actions Against Fund Advisers by Marshall and Goldstein; and Examining and Managing Risks Associated with Outsourcing Compliance Functions by Domina and Piscatelli.

Keywords: SEC Enforcement Actions Against Fund Advisers; Risks Associated with Outsourcing Compliance Functions

Affiliations:  1: Editor; 2: Haynes and Boone, LLP.

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