Observations from Examinations of Investment Advisers Managing Private Funds
June 23, 2020
This Risk Alert provides an overview of certain compliance issues observed by the Office of Compliance Inspections and Examinations (“OCIE”)∗ in examinations of registered investment advisers that manage private equity funds or hedge funds (collectively, “private fund advisers”). 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 Investment Advisers Managing Private Funds