A trend toward increased telecommuting has been developing for years. Many firms have adopted the practice, permitting some employees to perform all, or at least part of their duties at home. The practice can have significant benefits for employees and …
Year: 2019
Advisors Engage in Prohibited Transactions While Awaiting Exemption Order
The Investment Company Act contains a number of provisions which limit, restrict or prohibit registered entities from participating in certain types of transactions. In some instances, the provisions give the Commission the authority to grant an exemption. It would seem …
Advisors Engage in Prohibited Transactions While Awaiting Exemption Order Read More »