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The weekly news source for investment management legal and compliance professionals

News October 14, 2019 Issue

Private Fund Adviser Settles Hidden Compensation Allegations with SEC

Failure to disclose compensation is one of those violations almost guaranteed to draw an SEC enforcement action. The agency sees a large part of its mission as protecting investors, so when it suspects that an advisory firm has not been upfront in disclosing what and how it will get paid from clients, expect them to dig deep into that firm until satisfied it unearthed the full story.

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