New Year, Familiar Priorities: Investment Adviser Annual Reminders and SEC Examination Priorities in 2016

    View Authors January 2016

    As 2016 gets underway, it is a good time for investment advisers to review their compliance “to do” lists. With that in mind, we are providing this update to remind investment advisers about their annual compliance obligations and to highlight certain examination priorities, recently announced by the SEC’s Office of Compliance Inspections and Examinations (OCIE), which are likely to have an impact on advisers to private funds.