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 | This new proposed legislation requires SEC registration of investment advisers to hedge funds and other private funds with assets under management of at least $30 million and state registration for those firms with $25 million or less. In addition, the legislation grants new rule making authority to the SEC and CFTC over any new books and records requirements for private funds and to provide those books and records to the Fed and Financial Services Oversight Council as "necessary or appropriate." FrontLine Compliance, LLC is a regulatory compliance consulting firm of former high-level regulatory insiders offering customized services to broker-dealers, investment advisers, investment companies, hedge funds, and insurance company affiliates. Staffed by former SEC and FINRA regulators, and chief compliance officers, FrontLine Compliance provides the kind of industry knowledge, experience and expertise on regulatory issues only available from well-seasoned insiders. For more information about the firm, please visit www.frontlinecompliance.com.
FrontLine Compliance, LLC |
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