transcript   Transcript

SEC Inspections and Examinations of Private Hedge and Equity Funds

Recorded on: Oct. 15, 2018
Running Time: 00:59:25

Full Transcript:

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Taken from the Web Program Hedge Fund and Private Equity Enforcement & Regulatory Developments 2018 Recorded October 2018 in New York

SEC Inspections and Examinations of Private Hedge and Equity Funds [00:59:25]
  • SEC’s National Exam Program and Private Funds Unit – exam findings and priorities
  • Proactive approach to the exam process and has the tone changed
  • Relationships with affiliates
  • Attorney client privilege in the exam context – difficulties of wearing multiple hats
  • Turning up the heat on compliance professionals?

Speakers:  Marc E. Elovitz, Maurya C. Keating, Julie M. Riewe, John H. Walsh                         

The purchase price of this Web Program segment includes the following article from the Course Handbook available online:
  • 2018 Mid-Year Securities Enforcement Update (July 30, 2018)
    Barry R. Goldsmith
  • Compliance Reminders for Private Fund Advisers—2018 (February 14, 2018)
    Barry R. Goldsmith
Marc E. Elovitz ~ Schulte Roth & Zabel LLP
Maurya C. Keating ~ Associate Regional Director, U.S. Securities and Exchange Commission
Julie M. Riewe ~ Debevoise & Plimpton LLP
John H. Walsh ~ Eversheds Sutherland LLP
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