Emily Semands Poulsen

Emily Semands Poulsen

A&O Shearman

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SEC Issues Risk Alert Identifying Deficiencies of Private Fund Advisers

On June 23, 2020, the U.S. Securities and Exchange Commission (the SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert (the “Risk Alert”) highlighting several problem areas that it has identified...more

6/29/2020  /  Broker-Dealer , Compliance , Investment Adviser , OCIE , Risk Alert , Securities and Exchange Commission (SEC)
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