Webcast Replay - SEC 2022 Examination Priorities and Proposed Rules

Significant regulatory demands are on the horizon for U.S. private fund managers. In this webcast, Kroll Institute Fellows Ken C. Joseph and David Larsen provided guidance on the steps and strategies investment advisers should be implementing now to assess and mitigate the impact and compliance risk posed by the U.S. SEC’s 2022 Examination Priorities and Enforcement Agenda. Ken and David also reviewed the multitude of proposed private fund prohibitions and obligations that, if enacted, could dramatically alter the economics, risks, operations and regulatory mandates imposed upon fund managers. 

Beyond providing an analysis of the expected SEC examination priorities and proposed private fund rules, our fund advisory experts provided practical, best practices guidance on how managers should bolster their compliance infrastructure to face the emerging regulatory landscape.

Key Takeaways

• 2022 examination priorities and current status
• How to identify common mistakes and non-compliant practices
• Best practices for registered investment advisers
• How to prepare for your upcoming exam
• Overview and potential impact of proposed new rules

Speakers

• Ken C. Joseph, Esq., Managing Director and Head of Financial Services Compliance and Regulation
• David Larsen, Managing Director, Alternative Asset Advisory