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SEC Examination and Enforcement Trends For Private Fund Managers On The Rise

(Opalesque) A new report from law firm Proskauer suggests that SEC examinations of investment managers are on the rise. The regulator has also updated its priorities concerning enforcement, insider trading and rulemaking initiatives. According to the report, the SEC’s Office of Compliance Inspections and Examinations (OCIE) was very active this year, a trend that is likely to continue into 2020.

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