Navigating the SEC’s Interpretation Regarding an Investment Adviser’s Standard of Conduct: Three Tools to Systematically Monitor Conflicts of Interest (Part Three of Three)

As conflicts of interest remain of keen interest to regulators and investors, fund managers must continually evolve their practices to identify, monitor and manage those conflicts. This three-part series examines the practical implications of the SEC’s Interpretation Regarding Standard of Conduct for Investment Advisers (Interpretation) for private fund managers. This third article addresses best practices for investment advisers to manage their conflicts of interest. The first article provided an overview of the Interpretation and explored six key takeaways for fund managers from the Interpretation. The second article outlined key tools that fund managers may employ to identify their conflicts of interest. See “Four Essential Elements of a Workable and Effective Hedge Fund Compliance Program” (Aug. 28, 2014).

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