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Observations from Examinations of Private Fund Advisers

Jan. 27, 2022

On June 23, 2020, the Division of Examinations (“EXAMS”) published a Risk Alert (the “2020 Private Fund Adviser Risk Alert”) providing an overview of compliance issues observed by EXAMS staff in examinations of registered advisers that manage private funds (“private fund advisers”). In light of the significant role of private fund advisers in the financial markets, EXAMS is publishing this Risk Alert detailing additional observations. This Risk Alert is intended to assist private fund advisers in reviewing and enhancing their compliance programs and also to provide investors with information concerning private fund adviser deficiencies.

View the Risk Alert: Observations from Examinations of Private Fund Advisers

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