This past July the SEC published a Compliance Alert summarizing issues found during recent examinations. The following ten discussion items address the top areas addressed by SEC staff in speeches and not surprisingly, the top areas reviewed during SEC examinations.
SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers Today, July 21st, 2010, the President signed into law the Dodd-Frank Wall Street Reform and Consumer...
SEC3 Offers Private Fund Registration and Compliance Services Our SEC knowledge and private fund experience is what differentiates us from our competitors. ...
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