Gretchen Passe Roin

Gretchen Passe Roin

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SEC Guidance for Private Fund Advisers

On June 23, 2020, the US Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a risk alert (Risk Alert) describing common deficiencies and compliance issues for...more

7/8/2020  /  Conflicts of Interest , Corporate Governance , Hedge Funds , Investment Adviser , Investment Funds , Material Nonpublic Information , OCIE , Private Equity Funds , Risk Alert , Securities and Exchange Commission (SEC)

OCIE Risk Alert on Cash Solicitation Rule

On October 31, 2018, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) released a new Risk Alert regarding compliance deficiencies observed in connection with Rule...more

1/29/2019  /  Cash Solicitation Rule , Investment Adviser , OCIE , Registered Investment Advisors , Risk Alert , Securities and Exchange Commission (SEC)
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