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Compliance's 'one-way ratchet' may mean fewer, bigger firms
The November 15 event for investment adviser and investment company senior officers will be virtual-only
'Broken windows' gets industry workout
Eighty-five percent of firms were victim of at least one fraud last year
Biggest single-day crackdown on industry since 2018
A peer shares the adviser's disclosure related to the use of interactive analysis tools under the SEC's new IA ad rule
Here is an example of a compliance P&P to govern electronic communications