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Expert Analysis

Know The Collateral Consequences Of Financial Reg Action

Law360, New York (October 22, 2014, 11:17 AM EDT) -- Financial services firms facing enforcement proceedings at the hands of the U.S. Securities and Exchange Commission or any other financial industry regulator must consider disclosure obligations in the context of the various collateral consequences that may arise from such proceedings. Firms with subsidiaries or activities that fall under the scope of the Investment Advisers Act, the Investment Company Act, the Securities Exchange Act, the Financial Industry Regulatory Authority or the Commodity Exchange Act also must consider these issues....

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