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How Can the Private Fund Exception of the Investment Company Act of 1940 Benefit Your Business?

April 18th, 2024

How Can the Private Fund Exception of the Investment Company Act of 1940 Benefit Your Business? In our previous exploration of the Investment Company Act of 1940, we unraveled the foundational aspects of this pivotal piece of legislation, outlining i… Read More

Categories: Investment Regulation

Understanding the Investment Company Act of 1940

April 10th, 2024

Understanding the Investment Company Act of 1940 As a modern-day business owner eyeing the horizon for opportunities to fuel your venture with fresh capital, issuing securities to investors might be on your radar. It’s a path trodden by countle… Read More

Categories: Investment Regulation

Anthony's Story

A few months ago, I received an unexpected notice – a random ethics compliance audit was scheduled for my firm by our state. The letter, much like the stop sign at the end of my street, was abrupt and impossible to ignore. Suddenly, I was facing the daunting task of proving my firm’s compliance to a third-party auditor, with no assurance of what they might find.

However, I’m thrilled to share with you that after undergoing the ethics audit, I received a report from the auditors confirming that I was in 100% compliance with the standards they were evaluating. It was a gratifying affirmation of the dedication and diligence my firm puts into maintaining the highest ethical standards.

It’s possible your business is facing a crisis. You can visualize a great outcome, but you just don’t know how to make it a reality. You’re afraid of what might happen if you do nothing… but what can you do?

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How Can the Private Fund Exception of the Investment Company Act of 1940 Benefit Your Business?

Understanding the Investment Company Act of 1940

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