Compliance Concerns for Private Funds

September 15, 2020

Reading time : 2 minutes

On Thursday, September 24 RIA Compliance Consultants will host a webinar, “Compliance Concerns for Private Funds,” at 12:00 PM CT. During this compliance training webinar, RCC’s Senior Vice-President, Jarrod James, will be joined by Dan McMahon of Koley Jessen to discuss the SEC’s recent Risk Alert entitled SEC’s Observations from Examinations of Investment Advisers Managing Private Funds. We will also discuss the key differences between an Exempt Reporting Adviser filing (ERA) for private fund advisers and full registration as an investment adviser along with the private fund information both filing-types must provide on Form ADV.

This webinar follows on the heals of a June 23, 2020 SEC Risk Alert concerning Private Funds. The Office of Compliance Inspections and Examinations (“OCIE”)  of the U.S. Securities and Exchange Commission (“SEC”) released this Risk Alert about its assessment of the compliance practices of SEC registered investment advisers that manage private equity funds or hedge funds (“private fund advisers”). In its Risk Alert, the SEC noted that over 36% of SEC registered investment advisers manage private funds, which represent a significant area of investment for pensions, charities, endowments, and others. Click here to read the SEC’s Risk Alert for Private Funds. We will discuss this risk alert during our upcoming webinar. You can find more information about that risk alert in one of our previous blog posts, linked here.

To register for “Compliance Concerns for Private Funds” please click the following link We look forward to seeing you on this webinar!

Posted by RCC
Labels: Private Funds