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Form ADV › Investment Management › Required Forms

SEC Compliance Consultants, Inc. (SEC³)

The Most Wonderful Time of the Year: Form ADV Season

SEC Compliance Consultants, Inc. (SEC³) on

For most investment advisers, March signals the beginning of Form ADV season, where compliance officers gather all kinds of firm data to update a document fraught with potential regulatory liability. For the uninitiated, Form...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

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