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.
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
Purchasing, Onboarding & Volume Discounts
- 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
- 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
- 80% Pass Mark
- Key Points
- Downloadable Certificate
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