The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more
2/25/2013
/ Alternative Investment Fund Managers Directive (AIFMD) ,
Asset Management ,
Conflicts of Interest ,
Dodd-Frank ,
ETFs ,
Hedge Funds ,
Investment Adviser ,
OCIE ,
Portfolio Managers ,
Private Equity ,
Private Equity Funds ,
SEC Examination Priorities ,
Securities and Exchange Commission (SEC)
Bruce Karpati, Chief, SEC Enforcement Division’s Asset Management Unit, recently described enforcement priorities with respect to hedge funds. He noted the Asset Management Unit, comprised of 75 staff across 11 offices,...more