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Investment Advisers Compliance “To Do” list for 2016 SEC Regulatory Deadlines for Investment Advisers

Updated February 2016 By: Jaqueline M. Hummel, Managing Director Samuel W. Pangas, Compliance Associate With the help of Sam Pangas, my compliance colleague at Hardin Compliance Consulting, we have compiled…

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2015 Regulatory Review for Investment Advisers, Hedge Funds and Private Equity Funds Part 1 of a 2 Part series

November 10, 2015 By: Jaqueline M. Hummel,  Managing Director  Toward the end of the year, I take an inventory of the changes to the SEC’s regulatory landscape in the past…