What Private Fund Advisers Need to Know about the SEC’s Risk Alert

By Andrew K. Sledd, CPA, CFE, Business Assurance & Advisory Services Partner | Financial Services Industry Team Leader Common Deficiencies Found in Examinations of Private Fund Advisers In June 2020, the Office of Compliance Inspections and Examinations (OCIE), the Securities & Exchange Commission’s (SEC) examination division, released a Risk Alert that included observations from their … Continue reading What Private Fund Advisers Need to Know about the SEC’s Risk Alert