Aggregated News From Investment Management Regulators

SEC Guidance for Private Fund Advisers

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On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk Alert) describing common deficiencies and compliance issues for SEC-registered advisers of private equity funds and hedge funds (Advisers).1 The Risk Alert focuses on deficiencies involving (i) conflicts of interest, (ii) fees and expenses, and (iii) policies and procedures relating to material non-public information (MNPI). Advisers should closely review the Risk Alert to ensure compliance with certain sections and rules of the Investment Advisers Act of 1940 (Advisers Act).

Read the full article from WilmerHale here: https://www.wilmerhale.com/en/insights/client-alerts/20200707-sec-guidance-for-private-fund-advisers

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