- Category
- Client Alerts
- Date
- Feb. 17, 2015
- Title
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Financial Services Alert: SEC Sanctions Liquid Alt Fund Adviser for Causing Funds' Custody Rule Violations
This client alert discusses the first formal SEC action arising out of the SEC’s recent liquid alt sweep, where an investment adviser was sanctioned for violating several rules under the Investment Company Act of 1940.
Media Attachments
Related People
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George M. Silfen
-
- Partner
- Co-author
- New York
- vcard
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