Comments on Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews

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Date Received
Date Letter Type Commenter Name
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a September 20, 2022 telephone call with Professor Joseph A. Grundfest
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 16, 2022 videoconference with representatives of the BDO USA LLP
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 16, 2022 videoconference with representatives of the Institutional Limited Partners Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 16, 2022 videoconference with representatives of the Investment Advisers Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Mark T. Uyeda regarding a September 14, 2022 meeting with representatives of Goldman Sachs Group, Inc. and Morgan Stanley
Public Comment Diane Baranowitz
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 13, 2022 meeting with representatives of the New York City Bar Association
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding a September 13, 2022 meeting with representatives of CompliGlobe Ltd., et al.
Public Comment Sandra Peters
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 9, 2022 videoconference with representatives of the Loan Syndications and Trading Association
Meeting with SEC Officials Memorandum from the Office of the Investor Advocate regarding an August 31, 2022 meeting with representatives of the Managed Funds Association
Public Comment Jirí Król, Deputy CEO, Global Head of Government Affairs, AIMA
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 6, 2022 videoconference with representatives of Institutional Limited Partners Association
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding a September 6, 2022 videoconference with representatives of the Structured Finance Association
Public Comment Laurel Kilgour
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 31, 2022, videoconference with representatives of the Institutional Limited Partners Association
Public Comment William Willoughby, Small Business Analyst
Meeting with SEC Officials Memorandum from the Division of Investment Management regarding an August 29, 2022, videoconference with representatives of the Fixed Income Investor Network
Public Comment Sam Johnston, Business Owner
Public Comment Bobby Franklin, President and CEO, National Venture Capital Association
Public Comment Tracy Luce
Meeting with SEC Officials Memorandum from the Office of Commissioner Hester M. Peirce regarding an August 22, 2022 meeting with representatives of Alpha Wealth Strategies, et al.
Public Comment Clayton Moore
Public Comment Dave Hall
Public Comment Anonymous
Public Comment Chelsea Gudgeon, Research Scientist, Alpine Immune Sciences, Inc.
Public Comment Brandon Gill New, Director & Co-Head, Multi-Strategy Investing & Digital Assets, Capital Markets, OPSEU Pension Plan Trust Fund
Public Comment Brian N.
Public Comment Donald Judy, Attorney
Public Comment Louis Priven, MBA

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-03-22
Release Number
IA-5955
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