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Articles tagged "Investment Advisers Act of 1940"

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Les Abromovitz: [Chief compliance officers] are putting their necks on the line if they don’t know their jobs and fulfill their responsibilities.

Time for chief compliance officers to get tough and get smart, or else

Double-checking, delegating (giving virtual head slaps) and becoming a student of the Investment Advisers Act of 1940 are part of the deal

July 13, 2011 at 1:58 PM

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