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Open Categories Menu Hedge fund managers should not match trades between commonly managed accounts in thinly traded (or illiquid) securities as this may pose potential problems under the Investment Advisors Act of 1940. This holds true whether the hedge fund manager is registered or unregistered. As the release below shows, the manager may [...]
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Posts Tagged ‘ illiquid securities ’
3 December
Posted in
Investment Advisor, Regulatory Actions
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