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SEC Private Fund Exam Observations – A Roadmap for Private Fund Compliance Programs

SEC Private Fund Exam Observations – A Roadmap for Private Fund Compliance Programs

This webinar focuses on the specific concerns that have been raised by the SEC regarding private fund advisers in their risk alert released on June 23, 2020

Topics include:

  • Gain an understanding of private fund deficiencies highlighted by SEC examinations
  • Learn tips for reviewing and enhancing your compliance program
  • Are you ready for an examination? – Steps to consider when preparing for an SEC private fund examination


  • John Gentile, Director, Private Funds and Broker-Dealer Services at CSS
  • Adam DiPaolo, Senior Consultant at CSS
  • Eugenie Warner, Senior Consultant at CSS
  • Anthony Drenzek, Special Regulatory Counsel at Proskauer

Fill in & submit the form below to download this ComplianceCast™.

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