Asset Management, Cybersecurity, SEC Examination Priorities

Lessons From 2024: Tips for Private Fund Managers

SEC Compliance Consultants, Inc. (SEC³) on 1/27/2025

As we look back on the SEC’s actions in 2024, we wanted to share our thoughts on lessons learned that we believe will carry through to 2025....more

Ropes & Gray’s Investment Management Update October – November 2024

Ropes & Gray LLP on 12/12/2024

The following summarizes recent legal developments of note affecting the mutual fund/investment management industry. On October 21, 2024, the SEC Division of Examinations (“EXAMS”) published its annual Examination Priorities...more

SEC’s 2025 Examination Priorities: Continued Focus on Private Funds and Cybersecurity

Alston & Bird on 11/5/2024

Our Investment Funds and White Collar, Government & Internal Investigations Groups discuss what investment fund advisers and broker-dealers should know about the Securities and Exchange Commission’s Division of Examinations’...more

SEC Division of Examinations Announces 2025 Priorities

Patterson Belknap Webb & Tyler LLP on 10/30/2024

On October 21, 2024, the Securities and Exchange Commission (“SEC”)’s Division of Examinations (the “Division”) released its 2025 examination priorities....more

Asset Managers: Are You Ready for Your Exam? Steps You Should Take Now

Sullivan & Worcester on 3/17/2017

Last week we told you about the five biggest pet peeves of the SEC’s Office of Compliance Inspections and Examinations (OCIE) when examining investment advisers. This week, we want to get you ready for your exam. Here are the...more

SEC Speaks: 2017 Enforcement and Exam Trends for Private Funds

Proskauer - The Capital Commitment on 3/13/2017

At the recent SEC Speaks program, sponsored by PLI, senior SEC staff members provided valuable insight into the SEC’s 2017 priorities for private funds. While the tenor of this year’s discussion seemed to focus more on...more