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Posts from Jack Bowling

A Developing Trend: Heightened Scrutiny of Private Equity Fund Advisers

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The Securities and Exchange Commission has recently increased its efforts in examining private equity fund advisers and the fees and expenses such advisers charge to portfolio companies on top of customary management fees. The SEC’s Office of Compliance Inspections and Examinations (OCIE) has implemented the Presence Exam Initiative to familiarize... Read More

Topics: Broker-Dealer, Investment Advisers, Private Equity