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Keywords: Disclosures
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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
... funds, in order to understand its guidance and recommend best practices. Design/methodology/approach The study discusses the categories of deficiencies that the SEC regularly finds in its reviews of private fund advisers, current SEC enforcement trends, and recommendations for disclosures, internal...
