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SEC Examinations

Study guide promises closer looks at marketing rule, valuations
Regulators are focused on prior deficiencies, discipline, leadership changes and ‘market stresses.'
The commission wants to see private equity firms have robust controls to prevent the misuse of MNPI.
The SEC is ready to resume in-person examinations for the first time since the covid pandemic began, and it's "not a good thing," as one lawyer put it.
And other anecdotes and takeaways from the CFOs & COOs Forum West, held in San Francisco on September 14 and 15.
Igor Rozenblit
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.
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