Ascendant partner Jackie Hallihan is joined by special guest panelist, Steve Stone, partner at Morgan Lewis Bockius LLP and the head of its Investment Management Practice Group, as they tackle some high profile, difficult private fund issues concerning transaction-based compensation and fund-raising. What is the SEC’s take on the issues? What are four important questions you should be asking? The risks of adviser’s and affiliates receiving transaction based compensation, without broker registration, go beyond regulatory risk and could lead to an even greater burden: rescisionary liability. Learn ways to avoid these risks and more.
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