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The weekly news source for investment management legal and compliance professionals

News April 30, 2018 Issue

Guidance is No Substitute for Rulemaking, But Helpful When Used Correctly

When the Division of Investment Management or the Office of Compliance Inspections and Examinations issues a guidance update or a risk alert, it is usually meant as a means to help advisers, investment companies, broker-dealers and others comply with securities laws and regulations. But just what are the benefits and drawbacks of guidance?

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