As marketing scrutiny intensifies under the SEC’s Marketing Rule (Advisers Act Rule 206(4)-1),...

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Case Study: The Cost of Non-Compliance and How to Avoid It Private funds—hedge funds, private equity funds, venture capital, and real estate funds—have long enjoyed more regulatory flexibility than their public counterparts. However, recent years have seen a sharp increase in SEC compliance oversight, driven by investor protection priorities and enhanced transparency demands....

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Introduction In a major shift for financial compliance, the Securities and Exchange Commission (SEC)...

In today’s fast-paced and competitive business environment, organizations across industries&md...