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Due Diligence Compliance Private Funds

Amundsen Davis LLC

Impact of the SEC’s 2024 Examination Priorities Report for Investment Advisers

Amundsen Davis LLC on

The Division of Enforcement (“Division”) for the Securities and Exchange Commission (“SEC”) released the 2024 Examination Priorities Report (“Report”) highlighting the key areas the Division will examine in 2024. The SEC’s...more

Dechert LLP

SEC Division of Examinations Releases 2024 Priorities

Dechert LLP on

The SEC’s Division of Examinations (EXAMS) published its report on 2024 Examination Priorities on October 16, 2023. The 2024 Examination Priorities continue to reflect an examination program that is vigorous and broad...more

Vinson & Elkins LLP

[Webinar] Corruption in the Time of COVID-19 - September 16th, 8:00 am - 9:00 am CT

Vinson & Elkins LLP on

While GDP and worldwide economies shrink under the continuing impact of COVID-19, government budgets have expanded to support healthcare responses to the pandemic and social-welfare in response to growing unemployment and...more

Morrison & Foerster LLP

FinCEN Proposes Anti-Money Laundering and Suspicious Reporting Rules for Registered Investment Advisers

On August 25, 2015, the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules that would require registered investment advisers to adopt anti-money laundering (AML) programs and report...more

Carlton Fields

More Due Diligence For Investments In Private Funds

Carlton Fields on

The SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a January 28, 2014 Risk Alert summarizing current practices and trends in how investment advisers conduct due diligence on private funds they recommend...more

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