SEC Compliance:
Compliance Issues from SEC Examinations

The price for this course: £33.33 excl. VAT

SEC Compliance:
Compliance Issues from SEC Examinations

The price for this course: £33.33

Course duration 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.

Learning outcomes
On completion of this course, you will:
• Understand common deficiencies and compliance issues
• Understand adviser obligations in conflicts of interest
• Understand the SECs concerns with fees and expenses
• Understand the SECs requirement relating to material non-public information
• Understand the enforcement action resulting from the SEC Examination

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Course outline

The price for this course:

£33.33 excl. VAT

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