Compliance Corner Q2-2018: Regulatory Filings and Other Considerations That Hedge Fund Managers Should Note in the Coming Quarter

April 19, 2018

The following written by ACA's Danielle Joseph and Anthony Frattone appeared in the April 19, 2018 edition of The Hedge Fund Law Report.

The SEC continues to increase its touchpoints with registered investment advisers. In its most recently published Agency Financial Report,[1] the Commission reported that it examined 15 percent of SEC-registered investment advisers during its 2017 fiscal year, up from 11 percent in 2016 and 8 percent five years ago. Given the SEC’s heightened examination coverage, private fund investment advisers should continue to ensure that they are making timely and accurate filings and meeting required compliance deadlines and obligations in order to reduce potential regulatory scrutiny from SEC staff during examinations.

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