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News February 5, 2018 Issue

Full Disclosure Needed When Advisers Raise Money to Keep Themselves Afloat

Desperate times may call for desperate measures but not measures so desperate that investors are kept in the dark about key elements and the SEC takes notice. This is especially true when the party seeking to raise money for itself is an investment advisory firm, and the parties from which it seeks to raise those dollars include its own advisory clients.

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