In The News

Investment Management Partner Discusses Broker/Dealer Registration Compliance for Private Funds in Compliance Intelligence

Practices: Investment Management

Investment management partner Win Quayle is quoted in a Jan. 15 Compliance Intelligence article titled “ABA, SEC Discuss Private Adviser B/D Registration Relief.” Mr. Quayle notes that private fund firms and their advisers are concerned about their compliance with the SEC’s B/D registration rules and are awaiting guidance from the SEC regarding the application of these rules.
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