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Dominic Diongson

A compliance officer relives his firm’s SEC examination, while Saw Mill Capital’s chief financial officer explains her plan.
The court’s decision stems from appeal by a former investment advisor accused of deceptive practices and could upend previous judgments.
An industry executive says the regulator wants to ensure that expenses aren’t excessive and investors aren’t billed inappropriately.
The agency's Strategic Plan for 2018-22 addresses the transformations in capital markets and seeks to update regulation.
Each advisor was ordered to pay a $75,000 fine but none admitted any wrongdoing.
The firm will not rush to make the corporate switch, watching closely how peers KKR and Ares fare.
Food for thought for those firms mulling switching from partnership to corporation.
The LP group wants to see some changes, but at the same time retain certain rules, such as disclosure of AUM for large PE firms.

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