Hedge funds partner Joel Wattenbarger was featured in a recent Hedge Fund Law Report webinar titled “Recent Trends in SEC Examinations of Private Fund Managers.” As a follow up, the publication summarized the discussion in a two-part series.
The first article published on Dec. 20 reviewed the discussion on the current SEC examination climate; the types of examinations conducted by the SEC; and the lifecycle of an exam, including practical advice on how advisers can manage the production of documents to SEC examiners.
A second article published on Jan. 10 explored the portions of the program that discussed how the SEC approaches the examination of six substantive areas of an adviser’s business, whether the SEC continues to adhere to a “broken windows” approach to enforcement and practical guidance for how fund managers can remain prepared for an SEC exam.
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