Study Show Compliance As Sales Tool; But Some Alternative Asset Managers LagMark Melin
Asset managers lag their traditional counterparts when it comes to compliance, according to a new study, but there is one thing all can agree on: Increased individual prosecutions undertaken by the Securities and Exchange Commission appear to be having the desired impact of keeping alternative asset managers on their toes.
Survey documents attitudes towards regulatory compliance in light of increased enforcement
When asked “How do . . .
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