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As a reminder, amended rule 203A-2(e) will impose certain reporting, recordkeeping, and compliance requirements on investment advisers relying on the exemption.
Diversity in asset allocation is recognized as a key component of successful investment portfolio management. Kramer Levin Naftalis & Frankel LLP - Darina F. Delappe
Regulatory Notice 22-10 (“Notice”), released on March 17, 2022, restates one of its usually unnoticed principles. Senior management is ultimately accountable.
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