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Alternative Market Briefing

In fiscal year ending September 2015, the SEC filed 807 enforcement actions, up from 755 in 2014

Friday, December 04, 2015

Benedicte Gravrand, Opalesque Geneva:

Proskauer, an international law firm, released the Proskauer Annual Review and Outlook for Hedge, Private Equity and Other Private Funds last month. The 88-page report is a summary of significant legal changes and developments in the private funds space during 2015, as well as a source of recommended practices for investment advisers to consider as they prepare for 2016.

In the last few years, private funds and their investment advisers were subject to heightened regulatory scrutiny, the report says, and a rather steady pace of examinations of registered investment advisers by the Office of Compliance Inspections and Examinations (OCIE) of the Securities and Exchange Commission (SEC), including examinations of newly-registered investment advisers and examinations of investment advisers that had not been previously examined. Proskauer urges all registered investment advisors to prepare for and respond to an SEC examination.

In 2015, the SEC has continued its focus on fees and expenses, which resulted in several significant settlements with the SEC’s enforcement division, "in areas involving (i) the allocation of operational, administrative and compliance expenses; (ii) the distribution of costs i......................

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