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Commission staff used Form PF data together with other information to identify hedge fund advisers whose reported data ― such as returns, exposures, liquidity ― ...
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A source shares with RCW an SEC exam letter focused on internet services
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Check out exam questions from the SEC and addressed to a private equity fund adviser
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Gain takeaways from this 2024 SEC exam letter
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Eye an SEC exam document request letter from an ongoing exam
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The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short
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RCW has obtained a copy of what’s described as a new SEC exam sweep checking on compliance with Form 13F filings
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Gain takeaways from the latest SEC risk alerts
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Our source describes the new document request letter from an ongoing exam as representative of a nationwide sweep by DOE examiners
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Two months ago, RCW revealed that the SEC’s Division of Examinations has launched a sweep exam related to advisers’ use of artificial intelligence—but we weren’t ...
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