Wed, May 25, 2022
A A A
Welcome Guest
Free Trial RSS
Get FREE trial access to our award winning publications
Alternative Market Briefing

Other Voices: SEC targets private funds in 2022 examination priorities

Friday, April 22, 2022

By: Gerald Francese, Ryan Last, Michael Renetzky, Heather Stone, from law firm Locke Lord LLP.

On March 30, 2022, the U.S. Securities and Exchange Commission's Division of Examinations issued its annual examination priorities for 2022. The Division will prioritize five significant focus areas that pose unique or emerging risks to investors or the markets during its examinations. We will focus our review of the Division's examination priorities on the way they impact investment advisers and private funds.

These focus areas include: (i) private funds; (ii) environmental, social and governance investing; (iii) standards of conduct; (iv) information security and operational resiliency; and (v) emerging technologies and crypto-assets. The SEC noted that while these five areas of focus are critical, they are not comprehensive and will not be the only issues the Division addresses in examinations, risk alerts, and industry and investor outreach. The 2022 SEC Examination Priorities address a composite of perennial exam considerations combined with more current emerging focus areas, which align with the Division's mission to promote and improve compliance, prevent fraud, monitor risk, and inform policy.

Significant Focus Areas

1. Private Funds. The Division states that over the past several years the private funds market has grown significantly, in both size and complexity. The Division estimates that approximately one third of all registered invest......................

To view our full article Click here

Today's Exclusives Today's Other Voices More Exclusives
Previous Opalesque Exclusives                                  
More Other Voices
Previous Other Voices                                               
Access Alternative Market Briefing

 



  • Top Forwarded
  • Top Tracked
  • Top Searched
  1. Opalesque Exclusive: Long/short equity hedge fund with bear market experience has a winning quarter[more]

    B. G., Opalesque Geneva: Experience during a Russian bear market lasting five years enabled Christian Putz to identify certain investment patterns in the market which he now applies to his current investment strategy. London-based ARR Inv

  2. Schroders acquires European renewable infrastructure manager Greencoat Capital[more]

    Laxman Pai, Opalesque Asia: British multinational asset management company Schroders has completed the acquisition of a 75% shareholding in Greencoat Capital, one of Europe's largest investment managers dedicated to the high-growth renewable infrastructure market. The remaining 25% is owned by Gr

  3. Opalesque Exclusive: Global equity manager focuses on symbiotic value chains[more]

    B. G., Opalesque Geneva: A global equity manager has made a point of focusing on the phenomenon of shrinking supply chains and avoiding zero-sum business models. London-based Tollymore Investment Partners is a private partnersh

  4. Satori Capital intros energy transition fund, a long/short equity strategy[more]

    Laxman Pai, Opalesque Asia: Dallas-based alternatives manager founded on the principles of conscious capitalism, Satori Capital has launched Satori Environmental, a long/short equity strategy that primarily invests in securities impacted by the global energy sector's shift from fossil-based s

  5. The Big Picture: With the war, E, S, and G have collectively moved back to the fore[more]

    B. G., Opalesque Geneva: In this interview, Dr. Patrick Welton, founder and CIO of Welton Investment Partners, offers his observations on the major macro themes expected to affect the comm