J. Kevin Boardman

J. Kevin Boardman

McGuireWoods LLP

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The SEC’s 2015 Examination Priorities: Implications for Private Equity Fund Managers

The Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC) recently released its examination priorities for 2015 for investment advisers, broker-dealers and transfer agents...more

2/6/2015  /  Broker-Dealer , Conflicts of Interest , Custody Rule , Cybersecurity , Examination Priorities , Investment Adviser , OCIE , Private Equity Funds , Proxy Voting Guidelines , Securities and Exchange Commission (SEC)
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