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News August 21, 2017 Issue

Private Fund Adviser and Owner/CCO Settle Multiple Charges with SEC

The SEC is long past the day of being unfamiliar with private fund advisers. It knows what to look for when it investigates and isnít shy about enforcement actions. When it finds a situation where the owner of the advisory firm is also the chief compliance officer, donít be surprised if it makes an example of the case.

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