Category: Risk management

SEC Enhances the Regulation of Private Fund Advisers
SEC Enhances the Regulation of Private Fund Advisers
  • Admin
  • Sep 18, 2023
The Securities and Exchange Commission (SEC) has taken significant steps to enhance the regulation of private fund advisers. With the adoption of new rules and amendments, the SEC aims to strengthen i....
Five Examination Priorities of The SEC Office of Compliance Inspections and Examinations
Five Examination Priorities of The SEC Office of Compliance Inspections and Examinations
  • Eric Mellmer
  • Mar 13, 2018
On February 7, 2018, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) announced its annual examination priorities for 2018. The OCIE desires to ensur....

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