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SEC Exam Focus – Alternative Investment Companies

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Dear Friends,

As the SEC stated in its Examination Priorities for 2015, the OCIE will focus on alternative investment companies and never before examined investment companies, covering, but not limited to, the following areas:

  • Leverage, Liquidity and Valuation Policies and Practices;
  • Internal Controls: Compliance Personnel, Staffing, Funding, and Empowerment of Boards; and
  • Marketing Funds to Investors.

In response, we are assisting clients in conducting mock SEC exams at the adviser and investment company level, with the goal of identifying high risk areas, and developing and refining policies and procedures specific to the management of investment companies.

Please feel free to contact us with an questions at (212) 867-0020 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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