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SEC Fines Adviser Over Allegedly Improper Fund Charges

By Jon Hill (September 12, 2017, 7:47 PM EDT) -- The U.S. Securities and Exchange Commission on Monday said that a Maryland investment adviser and its principal will jointly and severally pay a $300,000 civil monetary penalty to settle the agency's allegations that they improperly charged two private equity fund clients for certain fees and overhead expenses....

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