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2020 OCIE Priorities: Private Equity Remains Area of Interest, Focus on Retail and New SEC and Market-Wide Developments
15 January 2020
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The Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (the “SEC”) recently published its 2020 examination priorities (the “2020 Priorities”).
OCIE continues to focus on protecting retail investors and on assessing market-wide risks as well as never-before and not-recently examined registered investment advisers, among others.
Private fund sponsors have been specifically identified as a priority, particularly regarding controls with respect to conflicts of interest and material non-public information and the accuracy and adequacy of disclosures relating to fees and expenses.
Kenneth J. Berman
Andrew J. Ceresney
Robert B. Kaplan
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