Doug Cornelius on compliance for private equity real estate
In 2017, the SEC’s Office of Compliance Inspections and Examination conducted exams of investment advisers that previously employed, or then currently employed, any individual with a history of disciplinary events. According to a just released Risk Alert, this was the Supervision Initiative. The initiative examined over 50 advisers, with a total of $50 billion in … Read more »
The SEC’s Office of Compliance Inspections and Examinations’ 2016 Examination Priorities included a focus on individuals with a history of disciplinary events. That priority has been put into action. The SEC issued a new Risk Alert on upcoming examination. OCIE is undertaking an initiative to examine the supervision practices and compliance programs of registered investment … Read more »