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The weekly news source for investment management legal and compliance professionals

News May 8, 2017 Issue

Failure to Obtain ETF Exemption May Leave Advisers Paying the Penalty

Advisers operating exchange-traded funds better know the rules of the road before moving forward. BlackRock Fund Advisors recently settled with the SEC over allegations that it missed one key requirement and wound up paying a $1.5 million fine.

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