Navigating Interactions Between Investment Advisers and Their Portfolio Companies: Risks and Best Practices
Data Matters
JUNE 11, 2020
In September 2012, the staff of the SEC’s Office of Compliance Inspections and Examinations (OCIE) published a report summarizing trends and areas of concern identified in its examination of various broker-dealers. For example, Investment Groups may be approached about investing in an offering that has not yet been publicly disclosed (e.g.,
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