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SEC Nears Deal With Ex-Hedge Fund Compliance Chief

By Ed Beeson (December 2, 2014, 2:49 PM EST) -- The ex-chief compliance officer of Sands Brothers Asset Management LLC, an investment adviser to venture capital and hedge funds, is close to settling U.S. Securities and Exchange Commission charges related to the firm's alleged violations of rules around safeguarding client assets, according to a Monday filing....

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