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The weekly news source for investment management legal and compliance professionals

News October 1, 2018 Issue

Concealing Asset Values Won’t Solve Problems, May Bring SEC Charges

No adviser wants to see declines in the asset values of the client accounts they manage. Concealing those declines from clients and regulators, however, is not the answer. Not only will clients find out and likely be quite upset, but there is a good possibility the SECís Division of Enforcement will take notice. Better to come clean about the true state of affairs.

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