Aggregated News From Investment Management Regulators

OCIE Publishes Observations from Examinations of Private Fund Advisers

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On June 23, 2020, the staff of the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (“OCIE”) issued a Risk Alert, Observations from Examinations of Investment Advisers Managing Private Funds, providing an overview of OCIE’s observations, including common deficiencies and compliance issues, from its examinations of registered investment advisers who manage private equity funds and/or hedge funds (“private fund advisers”). OCIE published the Risk Alert to assist private fund advisers in reviewing and enhancing their compliance programs, and to inform investors of these private fund adviser deficiencies.

Read the full article from Tannenbaum Helpern here: https://www.thsh.com/publications/ocie-publishes-observations-from-examinations-of-private-fund-advisers

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