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Dec. 17, 2010

Does a Prime Broker Have a Due Diligence or Monitoring Obligation When Paying With Soft Dollars for a Hedge Fund Customer's Access to Expert Networks or Other Alternative Research?

  • Joe Story
    Hedge Fund Law Report
A recent court opinion, a recent criminal complaint and certain bedrock principles of investment advisory law may be understood in concert to suggest a new category of potential liability for prime brokers, and thus a new or heightened due diligence obligation on the part of prime brokers.

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