6 Tips For Private Equity Firms When The SEC Comes Knocking

Law360, New York (September 21, 2012, 8:46 PM EDT) -- The U.S. Securities & Exchange Commission is knocking on the door of some of the 1,400 private equity and hedge fund managers that Dodd-Frank brought under its oversight last spring, and experts say these exams can set the tone for what is likely to be an uneasy relationship between industry and regulator.

Fewer than 20 firms have been examined so far, but the agency plans to visit 350 over the next two years, a spokeswoman said Friday. Industry sources expect the pace to pick up in...
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