The Securities and Exchange Commission (SEC) has highlighted a compliance failure in a New York registered investment adviser’s handling of client advisory fees that its affiliated broker-dealer received from third-party private fund managers.

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Aaron Nicodemus is the Editor-in-Chief of Compliance Week. He previously worked as a reporter for Bloomberg Law and as business editor at the Telegram & Gazette in Worcester, Mass. Email: aaron.nicodemus@complianceweek.com LinkedIn:...