The SEC’s Examination Priorities: What Every Private Fund Managers Need to Know in 2015 LIVE Webcast

In this CLE course, a panel of thought leaders and professionals organized by The Knowledge Group will provide the audience with an overview of the latest and remarkable issues of this significant topic. The panel aims to help the audience understand the impact of the Securities and Exchange Commission’s 2015 Examination Priorities on private fund advisers. The panel will also offer notable insights regarding best practices for specific areas of concern, exam preparation and survival.


Key topics include:

  • The SEC’s 2015 Examination Priorities – An Update
  • “Market-Wide Risks” Issues, including cybersecurity
  • Use of Data Analytics in Illegal Activities Identification
  • Specific Private Fund Exam Priorities:

    • Lack of transparency, allocation of fees and hidden expenses
    • Valuation and marketing, including improper performance advertising and past specific recommendations
    • Conflicts (trade allocations, side-by-side management, principal transactions)
    • Custody
    • Transition planning

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