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Annual Investment Adviser Compliance and Regulatory Review

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January 18, 2013
Chapman Client Alert

The beginning of each year provides an opportunity for investment advisers to review annual compliance and regulatory matters, including issues related to private investment funds and commodity pools. This alert briefly summarizes some of the primary issues that advisers might consider in their 2013 annual review and update processes. Many of these issues apply to unregistered advisers as well as registered advisers.

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