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Keywords: Conflicts of interest
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Journal Articles
2020 SEC risk alert provides guidance for private fund advisers
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2020) 21 (1): 49–54.
Published: 25 November 2020
... controls, policies and procedures. Findings The SEC will expect private funds to identify and remedy regular deficiencies in three primary categories: gaps in client and investor disclosures regarding conflicts of interest; deficiencies in disclosures related to fees and expenses; and issues...
