MFA Blog

Roundtable Discussion at MFA’s Compliance 2014 Focuses on Issues Surrounding SEC Exams

Posted on May 7, 2014

The afternoon session at MFA’s Compliance 2014 conference started with a roundtable discussion on the issues surrounding SEC exams.  Jack P. Governale, Partner, Katten Muchin Rosenman LLP led the discussion, with participants doing a deep dive on the evolution of the SEC’s examination program and presence exams for newly registered hedge fund managers.  Participants also discussed issues relating to the SEC custody rule, the allocation of investment opportunities, marketing and advertising including the SEC staff’s recent guidance on social media and testimonials, and due diligence processes for selecting alternative investments.

Stay plugged in this afternoon to MFA’s blog for continuing updates from Compliance 2014.