SEC Exam and Enforcement Priorities: Cybersecurity, Business Continuity and Conflicts of Interest (Part One of Two)

A recent program at Seward & Kissel’s Seventh Annual Private Funds Forum explored the current SEC examination and enforcement climate affecting private fund advisers. Seward & Kissel partner Christopher Riccardi moderated the discussion, which featured partners Debra Franzese and Kevin Neubauer, along with counsel Daniel Bresler. This first article in a two-part series discusses the key takeaways from the presentation on the agency’s continuing focus on cybersecurity, business continuity plans and conflicts of interest. The second article will present the speakers’ thoughts on the SEC’s interest in responsible investing and the new marketing rule, as well as other potential areas for SEC enforcement activity. See “CCOs Share Recent SEC Exam Experiences” (Apr. 15, 2021).

To read the full article

Continue reading your article with a HFLR subscription.