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Expert Analysis

Recent Lessons In Regulation SHO Compliance

Law360, New York (September 22, 2015, 11:51 AM EDT) -- The U.S. Securities and Exchange Commission recently settled an enforcement action[1] against an investment adviser to certain hedge funds, in which the adviser admitted to violations of federal securities laws and paid a $4.25 million penalty, as well as additional disgorgement of $243,427.[2] Funds should view this case as a message from the SEC to advisers of hedge funds that they need to have processes and procedures in place designed to ensure:...

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