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Private Equity Funds › Unregistered Funds

Broker-Dealer Compliance + Regulation

SEC Charges Private Fund Administrator with “Gatekeeper Failures”

Broker-Dealer Compliance + Regulation on

Add fund administrators to the list of service providers the SEC expects to act as “gatekeepers.” In two separate settled actions last week, the SEC found that a private fund administrator “caused” the managers’ unregistered...more

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