As COVID-19 continues to disrupt routine operations, OCIE reminds broker-dealers and investment advisers of their ongoing obligations.
On August 12, 2020, the US Securities and Exchange Commission (SEC) Office of...more
A summary of a private equity firm’s compliance obligations, a discussion of notable developments in 2014 and highlights of the SEC’s examination priorities for 2015.
US federal laws and regulations, as well as the...more
2/26/2015
/ Chief Compliance Officers ,
Compliance ,
Dodd-Frank ,
Fund Managers ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Funds ,
Private Equity ,
Private Equity Funds ,
Regulation D ,
Securities and Exchange Commission (SEC)