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News February 6, 2017 Issue

SEC Focus on Conflicts of Interest Leads to Settlement with Private Fund Adviser

Disclosure of conflicts of interest has long been a priority for the SEC in its policing of financial service firms. So when the agency conducted an examination of a public equity fund adviser in 2014 and found what it believed to be potential conflicts of interest that were not disclosed, it mounted an enforcement action that resulted in a settlement.

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