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Asset Management › Conflicts of Interest › Hedge Funds

SEC Compliance Consultants, Inc. (SEC³)

Latest SEC Document Request Lists: What Private Fund Managers Should be Worrying About

SEC Compliance Consultants, Inc. (SEC³) on

Many private fund managers are breathing a sigh of relief after the Fifth Circuit struck down the Private Fund Rules (check out our blog post for more information). Do not, however, assume the SEC will stop its aggressive...more

Latham & Watkins LLP

Multitudes, Multitudes: The SEC’s Asset Management Unit Delivers Important Messages for Investment Advisers

Latham & Watkins LLP on

The SEC signals continued scrutiny of asset management firms for all manner of violations — including technical violations first identified in exams. On February 26, Julie Riewe, the Co-Chief of the SEC’s Asset...more

Stinson - Corporate & Securities Law Blog

Hedge Funds And Private Equity Groups On SEC Examination Priority List

Stinson - Corporate & Securities Law Blog on

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

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