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Searching Content indexed under Capital Adequacy/BASEL by R. Scott Beach ordered by Published Date Descending.
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SEC Crackdown On Investment Adviser Compliance Deficiencies
The Securities and Exchange Commission (the "SEC") is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
United States
6 Dec 2011
2
Connecticut Department Of Banking Releases Orders Clarifying Investment Adviser Registration And Regulation
On July 11, 2011, the State of Connecticut Department of Banking (the "Department") released three Orders regarding Connecticut investment adviser registration and regulation.
United States
19 Jul 2011
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