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Keywords: Transaction-based compensation
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Journal Articles
SEC targets broker-dealer implications of transaction-based deal fees
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2016) 17 (4): 75–76.
Published: 07 November 2016
... other bases for enforcement, and draws conclusions for private equity fund advisers. Findings The SEC has begun pursuing transaction-based compensation paid to private equity fund advisers relating to portfolio company transactions as illegal brokerage commissions. The Commission also continues...
