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Keywords: Touting Initiative
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2018) 19 (1): 28–30.
Published: 08 May 2018
... Rule”) under the Investment Advisers Act of 1940 (the “Advisers Act”). Design/methodology/approach This study describes the compliance issues highlighted in the risk alert. OCIE identified these compliance issues as part of its “Touting Initiative,” an examination initiative launched in 2016...
