Defining “Qualified Client”– Uff Da!
Corporations Code Section 25234 generally prohibits an investment adviser registered in California to be compensated on the basis of a share of capital gains. This prohibition is analogous to the...
View ArticleSEC Condemns Breach Of Client Confidences While Offering Possible Bounties...
Yesterday, the Securities and Exchange Commission announced that it had “charged a California-based attorney and his wife with insider trading on confidential information obtained from a corporate...
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