SEC Expectations and Compliance Best Practices

The SEC recently published a Risk Alert that provides an overview of certain compliance issues observed by the Office of Compliance Inspections and Examinations. The alert was created on the top of examinations of registered investment advisers, private equity and hedge fund manager examinations. 

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Measuring Culture and Creating a Healthy Culture of Compliance

To meet regulatory expectations firms must have a number of policy and rules in place, as well as manage conduct risk and monitor conflicts of interest effectively. In recent years, regulators have been stressing concerns on the ability of firms to manage conduct risk and highlighting that conduct is directly driven by the organization’s ethical culture.

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