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Private Funds Management Quotes Private Investment Fund Partner on the SEC Compliance Review Process for Private Equity Firms

Practices: Private Investment Funds

“Additional information about the SEC’s exam priorities … means [private equity firms] have a lot more clarity” when it comes to annual compliance reviews, stated private investment funds partner, Jason Brown (Boston). In a June 1 feature published by Private Funds Management titled “Inside the Annual Review Process,” Mr. Brown highlights that the SEC’s priorities are “fees and expenses, the allocation of investment opportunities, the allocation of co-investments and valuations.” The piece outliners that when the SEC commenced annual reviews of the industry, the industry was initially uncertain about what the Commission was looking for. But, with time, this has become clearer, with more specifics on what compliance officers should focus on during these.

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