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Expert Analysis

Targeting Adviser Compliance Deficiencies

Law360, New York (December 12, 2011, 10:09 AM EST) -- The U.S. Securities and Exchange Commission is cracking down on firms with compliance deficiencies under the Investment Advisers Act of 1940, as amended. Although three SEC enforcement cases announced on Nov. 28, 2011, involve extreme disregard by the particular investment adviser firms, these cases are sobering evidence of the penalties that may follow for advisers (and even for chief compliance officers personally) that disregard SEC compliance....

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