Examinations

A change impacts the timing of follow up with firms on exam findings that were not highly material

'The SEC is always very focused wherever there’s fast-growing activity. I think we’re seeing that focus in particular because private credit is a fast growing ...

One of the areas sure to be scrutinized on exam is whether you address compliance issues 'promptly … when identified'

'There have been a lot of very significant enforcement actions suggesting a strong focus on private funds,' Morgan Lewis partner Christine Ayako Schleppegrell says

'There are so many issues on top of what you’d normally have in a typical private equity fee-and-expense analysis when you’re dealing with just straight-up ...

The bulk of the release aims at RIAs, showcasing a slew of hot exam topics

This is the DOE's priorities for FY 2025

Check out an extensive new exam letter that digs into the operations of a private equity fund adviser

Examiners looking to determine what kinds of controls firms had in place to ensure that data and information provided to publishers are accurate

'That's really your opportunity as a firm to be able to come out and frame the risks to your business,' Iron Road Partners' Emilie Abate ...