See why ACA Insight is the leading newsletter on regulatory compliance. Sign up for a free 1-week trial.

The weekly news source for investment management legal and compliance professionals

News August 20, 2018 Issue

Former Private Equity Adviser Partner/CCO Settles Conflict of Interest Charges

Itís probably never wise for an adviser to condition an investment on a personal transaction Ė and itís almost certain that if the arrangement is undisclosed and client approval is not obtained, whoever was behind it is courting trouble from the SEC.

Full contents of this article are only available to paid subscribers.

Subscribe to ACA Insight

Subscribe to ACA Insight and receive a time-limited $200 discount! Subscribers receive: 46 electronic issues conveniently e-mailed to your desktops each Friday; access to archives of past stories; and breaking news e-mails.

Subscribe today to the weekly news source for investment management and legal compliance professionals.

Subscriber Log In

Forgot your password? Click Here.