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SEC Examining Alternative Mutual Funds

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August 12, 2014

Dear Friends,

The SEC has begun its sweep exams of alternative mutual funds.

As we mentioned in a previous alert, the SEC’s sweep will focus on a variety of areas including liquidity, leverage, and board oversight.

Please click here for a speech by Norm Champ, Director of the SEC’s Division of Investment Management, outlining the areas of focus. Please feel free to contact us with any questions at (212) 867-0200 or email us at info@counselworksllc.com.

Thank you,


About CounselWorks LLC

CounselWorks is a strategic business and regulatory consulting firm, that provides project-based consulting and manages compliance and regulatory programs for hedge funds, private equity firms, investment companies, broker-dealers and investment banks.
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