Examinations & Enforcement

‘When there’s a cyclical decline, certain risks pop up time and again… The SEC knows about them, too…’

At the 20th annual Private Funds CFO New York Forum, CFOs discussed everything from the new Marketing Rule to how to focus more on their strategic contributions to their firms.

SEC alumni at ACA webinar say detailed notes of calls and 'chaperoning' are the best protective steps against potential enforcements.

There have been several recent reports that SEC examiners appear to be giving out more deficiencies. 'It was a book' was how one described a recent deficiency letter.