SEC 2016 Examination Priorities for Private Equity and Hedge Funds

Stinson - Corporate & Securities Law Blog
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The SEC Office of Compliance Inspections and Examinations, or OCIE, has published its list of 2016 examination priorities. Matters of interest for private equity and hedge fund sponsors include:

  • OCIE will continue conducting focused, risk-based examinations of selected registered investment advisers that it has not yet examined.
  • OCIE will examine private fund advisers, maintaining a focus on fees and expenses and evaluating, among other things, the controls and disclosure associated with side-by-side management of performance-based and purely asset-based fee accounts.

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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