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 19, 2019 Issue

Advisers Paid by More than One Party in a Deal are Likely to Draw SEC Attention

Word to the wise: When in a deal, represent just one of the players. Advisers representing more than one party in a transaction may think they have a sweet arrangement, but it is more likely they catch the eye of the SEC Division of Enforcement. Itís not worth it.

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.