Insight

SEC Observations from exams of investment advisors

Summary of SEC Office of Compliance Inspections and Examinations risk alert on observations from examinations of investment advisors.

Sean McKee

Sean McKee

Partner, Audit, KPMG US

+1 609-947-2529

Matt Giordano

Matt Giordano

Partner, Audit, KPMG US

+1 617-988-6327

On June 23, 2020, the United States Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) released a risk alert detailing their observations from examinations of investment advisors (Advisors) managing private funds.

Download a quick summary of OCIE’s observations along with insights from KPMG LLP’s (KPMG) Public Investment Management team of SEC alumni and AICPA task force leaders.

SEC Observations from exams of investment advisors
Summary of SEC OCIE risk alert on observations from examinations of investment advisers