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Analysis

SEC's Fund Adviser Fines A Warning To PE Firms, Attys Alike

By Benjamin Horney ( June 5, 2018, 8:22 PM EDT) -- The U.S. Securities and Exchange Commission's decision to fine 13 private fund advisers for repeatedly failing to file an obscure form serves as a reminder that the regulator is ready and willing to penalize private equity rule-breakers, and firms and attorneys must step up and re-evaluate whether their compliance programs are up to snuff....

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