SEC Compliance:
Compliance Issues from SEC Examinations
The price for this course: $60.00
SEC Compliance:
Compliance Issues from SEC Examinations
The price for this course: $60.00
60 mins
In June 2020, the U.S. Securities and Exchange Commission issued a Risk Alert entitled Observations from Examinations of Investment Advisers Managing Private Funds.
The Risk Alert highlights certain compliance issues frequently observed by the Office of Compliance Inspections and Examinations (OCIE), during recent examinations of registered investment advisers that manage private equity funds or hedge funds.
This course is designed for registered investment advisers of private funds, to help you navigate the key learnings from the latest SEC examinations, and empowers you to help ensure that you are compliant with its findings and expectations.
Purchasing, Onboarding & Volume Discounts
Course outline
-
Introduction
- Private Fund Advisers
- Common Deficiencies & Compliance Issues -
Conflicts of Interest
- Adviser obligations
-
Fees and Expenses
- Understanding the SEC's Concerns with Fees and Expenses
- Allocation of Fees and Expenses
- Operating Partners
- Valuation
- Monitoring Fees and Expenses -
Material Non-public Information
- Supervision of the markets
- SEC Requirements
- Code of Ethics Rule -
Enforcement Actions relating to Exam Findings
- What do OCIE's observations mean?
- Tangible Case Studies
- Key Takeaways -
Quiz
- 80% Pass Mark
-
Conclusion
- Key Points
- Downloadable Certificate
The price for this course:
$60.00
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