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Keywords: Legal advice
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (2): 8–10.
Published: 14 June 2011
... Lynch, Pierce, Fenner & Smith, Inc v. Dabit, 547 US 71 (2006) that there is no right of action for “holder” claims. © Emerald Group Publishing Limited 2011 Financial services Investments Legal advice On November 17, 2010, the Securities and Exchange Commission (SEC...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (2): 4–7.
Published: 14 June 2011
... in these standards that should be addressed by rule or statute. Jessica Forbes can be contacted at: jessica.forbes@friedfrank.com © Emerald Group Publishing Limited 2011 Investors Financial management Legal advice 1. impose user fees on investment advisers to fund examinations; 2...
Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2011) 12 (2): 37–50.
Published: 14 June 2011
... arrangements, and offering document updates. Findings This summary is not intended to provide a complete list of an investment manager's obligations relating to its compliance with applicable rules and regulations or to serve as legal advice. It does not address any non‐US or state law requirements and has...
