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The weekly news source for investment management legal and compliance professionals

News April 1, 2019 Issue

Get the Most Out of Exemptive Applications and No-Action Requests

Whether applying for a job, seeking to secure financing or sending the SEC an application for an exemptive order or a request for no-action relief, it is always wise to put your best foot forward. No sense damaging your chances with an application that is poorly written, disorganized or omits key information. There are steps that attorneys for advisers, funds and others can take to ensure their process gets off to a good start.

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