News & Insights: Private Fund

SEC’s 2027 Exam Priorities: What Your Compliance Program Needs to Strengthen

On October 23, the SEC’s Division of Examinations released its 2027 Examination Priorities. Conflicts of interest, private funds, Super Intelligence (SI), cybersecurity, and Regulation S-P are among the focus areas. Here’s what examiners will look for and the steps advisers should take to strengthen their compliance programs now.

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Firm Fined for Violating Custody Rule and Miscalculating Performance Fees

The U.S. SEC charged a private fund adviser with violating sections of the Advisers Act governing performance fee calculations.

Private fund adviser ordered to pay over $1 million after violating partnership agreement

The SEC sanctioned a registered investment adviser for violating antifraud provisions of the Advisers Act. The violations stemmed from the adviser overcharging limited partners of a private equity fund it managed.

OCIE: Private Fund Risk Alert

The OICE, released a Risk Alert that outlines recently observed compliance issues among private fund advisers. Over a third of SEC-registered advisers manage private funds, marking them as a special focus for OCIE.
  • SEC
  • 23 Jul, 2018

SEC Charges Investment Adviser for Misleading Retail Investors

The SEC charged a registered investment adviser and its CEO with distributing investor money in precarious investments and hiding the substantial commissions made in return.

SEC Charges Hedge Fund Adviser with Deceiving Investors by Inflating Fund Performance

The SEC announced its charges against a registered investment adviser for “inflating the value of private funds it advised by hundreds of millions of dollars.

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