Hedge Funds in Transition: SEC Examination Priorities and Strategies for Building an Advisers Act Compliance Program (a National Regulatory Services webinar)
February 28, 2012
- Identifying and understanding the SEC's current examination priorities relating to hedge fund managers as well as the rationale and history behind some of those concerns;
- Developing comprehensive compliance controls that will integrate well with an adviser's existing infrastructure, including policies, procedures and disclosures designed to address the risks and conflicts of concern to the SEC;
- Use recent SEC enforcement cases to help determine which practices should simply be avoided.