2024 Sample Examination Request List – Private Equity Fund Advisers
This is a sample SEC examination request list for private equity fund advisers.
September 17, 2024
Based on member feedback, we are in the process of redesigning our Resource Center, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.
2024 Sample Examination Request List – Private Equity Fund Advisers
This is a sample SEC examination request list for private equity fund advisers.
September 17, 2024
Regulatory Game Changers on the Horizon
The SEC has unleashed a flurry of rule proposals that, if enacted as proposed, will significantly alter the regulatory, disclosure and reporting obligations for managers who cater to the private fund market.
June 02, 2022
March 2022 Sample Examination Letter – Chicago – Adviser, Private Funds
This is a sample examination letter from March 2022 from the SEC’s Chicago Regional Office regarding advisers and private funds.
March 01, 2022
February 2022 Sample Examination Letter – Chicago – Adviser, Private Funds
This is a sample SEC examination letter from February 2022 from the Chicago Regional Office regarding advisers and private funds.
February 01, 2022
February 2022 Sample Examination Letter – Chicago – Adviser, Private Funds, Registered Funds
This is a sample examination letter from February 2022 from the SEC’s Chicago Regional Office regarding advisers, private funds, and registered funds.
February 01, 2022
The IAA provides links to web sites of other organizations in order to provide visitors with certain information. A link does not constitute an endorsement of content, viewpoint, policies, products or services of that web site. Once you link to another web site not maintained by the IAA, you are subject to the terms and conditions of that web site, including but not limited to its privacy policy.
Click the link above to continue or CANCEL