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Recent Trends in SEC Examinations of Private Fund Managers

In addition to discussing how examiners from the SEC’s Office of Compliance Inspections and Examinations are currently approaching examinations of private fund managers, this program addressed several examination-related topics, including: the life cycle of an SEC examination; recent SEC examination initiatives; key areas of focus during examinations of private fund managers; and ways fund managers can remain prepared for an SEC examination. Moderated by Kara Bingham, Senior Editor of the Hedge Fund Law Report, the webinar featured 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.

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