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News November 16, 2015 Issue

Private Equity + Conflict of Interest + Failure to Disclose = SEC Enforcement

Hereís a recipe sure to draw the SECís attention, direct from the Division of Enforcementís cookbook: Take one private equity firm, add a tablespoon of conflict of interest, mix, and then bake. When done, divide among selected colleagues and enjoy the finished product in private. Be sure not to share the recipe with clients, investors or board members. Warning: This recipe may prove significantly more expensive than expected, and you may not be doing much more baking after agency charges lead to a costly settlement.

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