Four years on from Dodd-Frank, private fund managers still have plenty of questions about what it takes to clear the SEC examination process. In the meantime, the agency has developed a deeper understanding of the industry’s workings, leading to more nuanced, targeted exams.
In light of clients’ compliance challenges, Navatar teamed up with ACG Global, to take the conversation to an SEC funds examiner for more perspective.
A blog post from Nicholas Donato of Navatar summarizes the key points and contains links to the roundtable discussion with SEC examiner Maryellen Maurer. You can also read a transcript of the discussion.