SEC Issues a Warning to Private Equity Fund Managers
By EsqSocial Corporation 01/07/20
On June 23, 2020, the Office of Compliance Inspections and Examination (OCIE) of the Securities and Exchange Commission (SEC) published a risk alert (Risk Alert) that highlighted certain compliance deficiencies observed by OCIE in examinations of registered investment advisers that manage private equity funds (each, a PE Manager)....<BR />By: <a href="https://www.jdsupra.com/profile/Akerman/">Akerman LLP</a>