Money Manager's Compliance Guide

Money Manager's Compliance Guide

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According to the SECa#39;s order, Merrill Lynch violated the Advisers Act anti-fraud provisions in three respects: (l) they failed ... pension fund clients transitioning from one investment manager tolanother use Merrilla#39;s transition management group, anbsp;...

Title:Money Manager's Compliance Guide
Author: Clifford J. Alexander, Arthur C. Delibert, Catherine S. Bardsley
Publisher: - 1994

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