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Investment Management Alert

SEC’s Office of Compliance Inspections and Examinations Announces Risk-Based Exam Initiatives Focused on Registered Funds and Investment Advisers


This publication/newsletter is for informational purposes and does not contain or convey legal advice. The information herein should not be used or relied upon in regard to any particular facts or circumstances without first consulting a lawyer. Any views expressed herein are those of the author(s) and not necessarily those of the law firm’s clients.