Examinations & Enforcement

Fund managers don’t have to guess where regulators might look for valuation weaknesses.

Examiners ask about funds by name in opening requests. Enforcement has picked up the scent, too, Private Funds CFO has learned.

Seek to avoid PF exam deficiencies with these tips.

While there is a shift toward deregulation, audit expectations for private funds remain high, with CFOs facing a more complex landscape.

Affiliate title RCW has obtained exam requests from an ongoing exam related to interval funds run by an adviser. If your firm manages such a fund, it would be worthwhile to be aware of what examiners are asking

Private credit’s economic troubles are causing political problems for the industry as regulators rethink some of their 'light touch' promises.

The Madison Capital Funding case reads like a warning to an industry, Weil, Gotshal & Manges poaches David Greene as it builds out its fund formation practice and securities class action lawsuits dip slightly.

Industry insiders warn that finance chiefs who delay data inventories and vendor outreach risk running out of time to meet the SEC’s cybersecurity requirements.

SEC amendments are driving advisers to hard-wire response roles, testing regimes and reporting protocols.

The SEC’s staff exodus may be a problem for managers, ILPA has problems with impact data, Vermont has problems with PE in healthcare and Brian Daly has a problem with you calling him a hippo.