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Kyle Campbell

Compliance: The SEC’s priorities in eight takeaways

An attorney from the regulator stressed the importance of informing investors of current and potential conflicts of interest, spelling out policies on fees and valuations and properly managing service providers.
Panoramic view of the United States Capitol and waving american flag in Washington DC

SEC priorities in 9 takeaways

Disclosures and valuation practices top the Securities and Exchange Commission’s watch list, as we learned at sister title PERE's CFOs and COOs event.

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