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The weekly news source for investment management legal and compliance professionals

News January 14, 2019 Issue

Government Shutdown Leaves Advisers, Funds Hanging

The partial government shutdown which includes the SEC is now approximately three weeks old, and the effect on advisers, funds and others regulated by the agency is only likely to grow the longer it stays in effect. Most aspects of SEC regulation examinations, answers to questions or requests, enforcement and more have slowed considerably, if not stopped, leaving advisory firms and investment companies that are dependent on the SEC without a clear path forward.

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