transcript   Transcript

SEC Inspections and Examinations of Private Hedge and Equity Funds

Recorded on: Dec. 5, 2017
Running Time: 00:59:03

Full Transcript:

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Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2017 Recorded December 2017 in New York

SEC Inspections and Examinations of Private Hedge and Equity Funds [00:59:03]
  • SEC’s Private Funds Unit – what is new and what to expect in 2018
  • Data analytics and regulation – advice for counsel and hedge fund managers
  • Strategies for how best to prepare and survive an OCIE exam
  • Role of outside counsel before, during and after the exam
  • Dealing with other SEC divisions and regulators in the exam context

Speakers: K. Susan Grafton, Ken C. Joseph, Barry Rashkover, John H. Walsh

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:

  • 2017 Mid-Year Securities Enforcement Update (July 18, 2017)
    Barry R. Goldsmith
  • K. Susan Grafton and Linda J. Muzere, Challenges for Private Fund Advisers in Establishing and Maintaining a Compliance Program (September 29, 2017)
    K. Susan Grafton
  • The Five Most Frequent Compliance Topics Identified in OCIE Examinations of Investment Advisers, the Office of Compliance Inspections and Examinations, National Exam Program Risk Alert, Volume VI, Issue 3 (February 7, 2017)
K. Susan Grafton ~ Dechert LLP
Ken C Joseph ~ U.S. Securities and Exchange Commission
Barry W. Rashkover ~ Sidley Austin LLP
John H. Walsh ~ Sutherland Asbill & Brennan LLP
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