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You are the UDP, president, CCO, or all of these, for a portfolio management firm with fewer than 5 advisors. You have concluded that you...

CASES HIGHLIGHTED: LACK OF SUFFICIENT KYC INFORMATION / UNSUITABLE RECOMMENDATIONS / FAILURE TO SUPERVISE This bulletin presents a...

CASES HIGHLIGHTED: INSIDER TRADING / DISCLOSURE OF MATERIAL NON-PUBLIC INFORMATION / EXEMPLARY COOPERATION INSIDER REPORTING VIOLATIONS...