SEC Examinations

Examiners asked about private fund 'extensions,' or moves by a fund GP to lengthen a fund’s term, perhaps as a means of giving the adviser ...

This PE exam letter speaks to the wisdom of tracking portfolio company transactions with adviser affiliates

Examiners asked to see a 'schedule of any transactions known to the Adviser or its officers between portfolio companies and' other portfolio companies, clients, the ...

The most challenging aspect for smaller advisers will be to persuade large vendors to report any breach within 72-hours. In response to a question about ...

The adviser had to submit a 'list of all intermediary broker-dealers, or other entities, that play(ed) a role in effecting the transactions of structured notes' ...

Concerns surrounding the private credit markets could explain the examiner scrutiny. Examiners asked about the current 'amount of audit holdbacks,' a common industry flag of ...

RCW has obtained exam requests from an ongoing exam related to interval funds run by an adviser. If your firm manages such a fund, it ...

The new plan highlights exam priorities, pledges a further embrace of cryptocurrency and signals a slowdown for IM

Examiners displayed their interest in how the adviser was approaching compliance with revised Regulation S-P

Prepare for your next SEC exam by examining what DOE is asking other advisers