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The weekly news source for investment management legal and compliance professionals

News January 29, 2018 Issue

Undisclosed Investment Strategy Changes Unlikely to Save the Day

An adviser may start a fund with high expectations, but find that, for a number of reasons, returns do not come in as expected, and in fact go south. Advisers in such situations may be tempted to turn to a higher risk/higher reward investment strategy in the hope it will make up for the losses. Those that do should be aware that such a move may bring with it business and compliance challenges that no adviser wants to face.

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