Hedge Fund News From HedgeCo.Net

SEC To Focus On Trade Allocation at Hedge Funds

sec_building.gi.topNew York (HedgeCo.Net) – The Securities and Exchange Commission recently discussed its exam priorities for 2013. Topics they will focus on include conflicts of interest related to trade allocation at hedge funds and fund governance, Corgentum’s Due Diligence News reports.

The examination priorities and focus areas for 2013 were selected collaboratively by senior exam staff and management from the NEP’s twelve offices, as well as senior representatives of other SEC divisions and offices, based upon an assessment of a variety of information, including: 

  • Information reported by registrants in required filings with the Commission;
  •  Information gathered through examinations conducted by the NEP and other regulators;
  • Communications with other U.S. and international regulators and agencies;
  • Industry and media publications;
  • Comments and tips received directly from investors and registrants;
  • Data maintained in third party databases; and
  • Interactions with registrants, industry groups, and service providers (outside of examinations).

Complete SEC PDF can be found here.

Related Posts Plugin for WordPress, Blogger...
This entry was posted in HedgeCo News, Hedge Fund Regulation. Bookmark the permalink.

Leave a Reply