US Compliance Issues from SEC Examinations - 2020/21

In June 2020, the U.S. Securities and Exchange Commission issued a Risk Alert entitled Observations from Examinations of Investment Advisers Managing Private Funds.

The Risk Alert highlights certain compliance issues frequently observed by the Office of Compliance Inspections and Examinations (OCIE), during recent examinations of registered investment advisers that manage private equity funds or hedge funds.

This course is designed for registered investment advisers of private funds, to help you navigate the key learnings from the latest SEC examinations, and empowers you to help ensure that you are compliant with its findings and expectations.