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Bovill is an independent, specialist financial services regulatory consultancy with a global offering. We are committed to providing practical solutions and with offices in the UK, Asia and the Americas we can offer a globally integrated service.
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SEC highlights private fund manager exam deficiencies24 June 2020Risk Alerts provide useful guidance for reviewing your practices in advance of any SEC visit or examination. The latest SEC, Office of Compliance Inspections and Examination’s (OCIE) Risk Alert, released on June 23, relates to their observations from examinations of investment advisers managing private funds. The Risk Alert highlights three general areas of deficiencies.
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