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Podcast: Private Fund Adviser Compliance: What You Should Know Before Your First SEC Exam

April 4, 2012
  • Podcast | mp3 | 45 min

The deadline of March 30 is quickly approaching for many private fund advisers to register as investment advisers with the U.S. Securities and Exchange Commission (SEC).  It is expected that a substantial number of advisers will be subject to regulatory oversight for the first time through the SEC's Office of Compliance Inspections and Examinations (OCIE).

At the same time, the SEC has implemented a "risk-based" examination process by which it will determine which advisers will be examined.  With the recent spate of high-profile enforcement cases against private funds and recent statements from senior SEC officials indicating that the SEC will focus on newly registered private fund advisers in their examinations, every private fund adviser should be keenly attuned to the expectations of compliance examiners.

Please join Sutherland on Wednesday, April 4, at 2:00 p.m. EDT for a Quick Call to gain timely insight into the examination process and specific information that could make the difference in your first examination.

The discussion will be led by John H. Walsh, a 23-year veteran of the SEC from OCIE who recently joined Sutherland, Deborah Heilizer, who focuses on SEC enforcement and securities litigation, and Bill Watts, a former chief compliance officer at a private fund adviser who recently joined Sutherland.

The Quick Call will address these questions:

  • How likely it is that you will be examined and what the SEC will consider
  • What it is like to have the SEC in your offices and how to prepare now
  • What your chances are that OCIE will make a referral to the Division of Enforcement

If you're a general counsel, chief compliance officer, chief operating officer, or otherwise involved in your firm's compliance program as a newly registered investment adviser, don't miss this call.

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