Christopher Harvey

Christopher Harvey

Dechert LLP

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The 15(c) Process Continues to be a Focus of the SEC Enforcement Staff

Two recent SEC Enforcement Division administrative settlements reinforce the importance for fund boards of directors and fund advisers to maintain a robust annual advisory contract renewal process....more

8/14/2015  /  Asset Management , Board of Directors , Enforcement Actions , Fund Managers , Investment Adviser , Investment Companies , Investment Company Act of 1940 , OCIE , Section 15(c) , Securities and Exchange Commission (SEC)
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