Monday July 6, 2015
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Recent News

IM staff offers advice on holding reporting by access persons

The SEC’s Division of Investment Management has issued a guidance update addressing personal securities transactions reports by registered investment advisers pursuant to Investment Advisers Act Rule

CFTC updates large trader guide

On June 23rd, the CFTC said that it has updated its guide for making large trader reports under the applicable rules for physical commodity swaps and swaptions, including the indices that accompany

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