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SEC 2016 Examination Priorities for Private Equity and Hedge Funds

By | January 14, 2016

The SEC Office of Compliance Inspections and Examinations, or OCIE, has published its list of 2016 examination priorities. Matters of interest for private equity and hedge fund sponsors include:

  • OCIE will continue conducting focused, risk-based examinations of selected registered investment advisers that it has not yet examined.
  • OCIE will examine private fund advisers, maintaining a focus on fees and expenses and evaluating, among other things, the controls and disclosure associated with side-by-side management of performance-based and purely asset-based fee accounts.

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