They all support anti-money laundering. They just differ with the government - and to some degree, with each other - on how to get there. The Investment Adviser Association, the Managed Funds Association and the Private Equity Growth Capital Council sent separate comment letters to the Treasury Departments Financial Crimes Enforcement Network suggesting limits to various parts of its proposed anti-money laundering rule.
Stern Tannenbaum law firm partner Aegis Frumento on how to get the most from reading an SEC administrative order or court complaint.
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Proskauer law firm partner and former SEC Division of Investment Management deputy director Robert Plaze on why the costs of non-compliance go way beyond an SEC penalty.
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Find out the difference an ethics, rather than a compliance, perspective makes at an advisory firm from former Ethics and Compliance Officer Association COO Timothy Mazur.