Six Essential Articles for Private Fund Managers to Revisit Addressing Key Areas of Interest by OCIE Examiners

Fund managers need to remain vigilant to ensure that their advisory businesses are prepared to meet the rigors of an SEC examination. This is particularly true as the SEC has estimated that it will examine 15 percent of the adviser registrant pool in 2019, compared with merely 8 percent of the pool in 2008. In light of this, the Hedge Fund Law Report is highlighting six articles from its historical archives that provide guidance on key areas of focus during SEC examinations of private fund managers. Next week (the week starting October 29, 2018), the Hedge Fund Law Report will resume its normal weekly publication. To further explore this topic of exam preparedness, on Thursday, November 8, 2018, at 11:00 a.m. EST, the Hedge Fund Law Report will host a complimentary webinar discussing how examiners from the SEC’s Office of Compliance Inspections and Examinations (OCIE) are currently approaching examinations of private fund managers, as well as key areas of focus by OCIE during these exams. The webinar, entitled “Recent Trends in SEC Examinations of Private Fund Managers,” will be moderated by Kara Bingham, Senior Editor of the Hedge Fund Law Report, and will feature Andrew M. Calamari, partner at Finn Dixon & Herling and former Director of the SEC’s New York Regional Office; Patricia A. Poglinco, partner at Seward & Kissel; and Joel A. Wattenbarger, partner at Ropes & Gray. To register for the webinar, click here.

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