ACA Compliance Professionals and SEC Veteran John H. Walsh Share Insights on SEC Priorities for 2015

The SEC continues to hone its focus on investment advisers and funds, scrutinizing matters including firms’ compliance programs, conflicts of interest, cybersecurity and potential insider trading.  To that end, the SEC is conducting certain initiatives and employing various tools, such as data analytics and dialogue outreach.  A recent program presented by ACA Compliance Group offered the perspectives of three compliance practitioners about where the SEC will focus its attention in 2015.  It covered new and continuing SEC initiatives and the SEC’s use of quantitative analytics, highlighting areas of concern with regard to alternative mutual funds, fixed income managers, cybersecurity, conflicts of interest and insider trading.  The program featured Dan Campbell, Managing Director, and Joseph DiGiglio, a Principal Consultant, at ACA Compliance Group; and John H. Walsh, a 23-year veteran of the SEC and partner at Sutherland Asbill & Brennan.  See also “SEC’s Rozenblit and Law Firm Partners Explain the SEC’s Enforcement Priorities and Offer Tips on How Hedge Fund and Private Equity Managers Can Avoid Enforcement Actions (Part Three of Four),” Hedge Fund Law Report, Vol. 8, No. 2 (Jan. 15, 2015).  This article summarizes the key points raised during the program.

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