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Fiduciary Duty › Fraud › Cease and Desist Orders

Fox Rothschild LLP

Providing Investment Advisory Services in North Carolina May be a “Profession,” But Doesn’t Get Limitations Period for...

Fox Rothschild LLP on

Investment advisors defending fraud claims from a former client recently asked the Business Court to place them within the three-year statute of limitations applicable to those who provide professional services. In Pridgen v....more

Troutman Pepper Locke

SEC Applies Advisers Act Provisions to Nonadvisor Fund Service Providers

Troutman Pepper Locke on

The SEC continues to expand the scope of responsibilities and standards applicable to gatekeepers. In an application of the Investment Advisers Act of 1940 (Advisers Act) to the actions of a nonadviser fund service...more

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