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News July 24, 2017 Issue

SEC Scrutinizes PE Fund Manager Adherence to Operating Documents

Private equity fund managers may not be as used to SEC oversight as are other advisers. They would be wise, then, to regard a recent agency settlement as a lesson learned: The SEC will scrutinize books and records to make sure fund managers are operating within the limits of their operating documents. Those that are not may find themselves facing an enforcement action.

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