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Broker-Dealer Issues for Private Fund Managers

December 13, 2022

Private fund managers are not usually registered as brokers. Accordingly, they need to take care that certain activities, such as structuring and negotiation of portfolio transactions in exchange for fees from the portfolio company, do not rise to the level of requiring registration as a broker-dealer. Read this practice note to understand what types of activities require careful attention and how to conduct them so as to avoid the need for registration.

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