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Tag: investment adviser due diligence

Blog, Securities Fraud

SEC Issues Risk Alert to Investment Advisory Firms

According to the Securities and Exchange Commission, the Office of Compliance Inspections and Examinations (OCIE) recently issued a Risk...

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Blog, Securities Fraud

FINRA Improves BrokerCheck

On November 12, 2013 the Financial Industry Regulatory Authority (FINRA) launched its new enhanced version of BrokerCheck, an online tool...

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