Private fund advisers face unique regulatory challenges and risks. Private fund managers are also subject to new disclosure requirements and compliance obligations relating to umbrella registration. In order to minimize risk and be prepared for the next examination, it is important for private fund advisers to take action now to address these risks, challenges, and disclosure requirements.
In this webinar, we will review:
• Umbrella Registration Requirements and Considerations;
• Schedule R and Form ADV Disclosures;
• Form PF Common Mistakes and Tips;
• SEC Priorities and Examination Trends Impacting Private Funds, including:
o Fee/Expense Misallocation;
o Marketing & Advertising Violations;
o Valuation Issues, and
o Retail Investor Exposure.