Important Strategies to Consider for Reviewing your Disclosures

Aug. 2008

 

The Investment Advisers Act of 1940, along with recent releases by the Securities and
Exchange Commission ("SEC"), is laden with requirements for full and fair disclosures.
During these summer months, CCOs should review client disclosure documents in light
of the Securities and Exchange Commission's re-proposal of Form ADV Part 2 and the
recent release of a second ComplianceAlert.

 

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