Zachary Karlan

Zachary Karlan

Kramer Levin Naftalis & Frankel LLP

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SEC Releases Risk Alert on Observations From Examinations of Investment Advisers Managing Private Funds

On June 23, the SEC’s Office of Compliance Inspections and Examinations (OCIE) released a risk alert (the Risk Alert) that identified three general areas of deficiencies in regard to its examination of private fund advisers:...more

7/9/2020  /  Conflicts of Interest , Investment Management , Material Nonpublic Information , OCIE , Private Investment Funds , Risk Alert , SEC Examination Priorities , Securities and Exchange Commission (SEC)
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