SEC Examinations

And other anecdotes and takeaways from the CFOs & COOs Forum West, held in San Francisco on September 14 and 15.

The former co-head of the SEC’s Private Funds Unit and managing partner of regulatory consultancy firm Iron Road Partners details where GPs should be spending their time.

The increased size and complexity of the market mean the Division of Examinations will cover less of the RIA market in its future examinations, but proportionately focus more on private funds.