{"id":39982,"date":"2014-01-10T08:29:30","date_gmt":"2014-01-10T13:29:30","guid":{"rendered":"http:\/\/www.hedgeco.net\/news\/?p=39982"},"modified":"2014-01-10T08:33:51","modified_gmt":"2014-01-10T13:33:51","slug":"the-secs-2014-hedge-fund-examination-priorities","status":"publish","type":"post","link":"https:\/\/hedgeco.net\/news\/01\/2014\/the-secs-2014-hedge-fund-examination-priorities.html","title":{"rendered":"The SEC’s 2014 Hedge Fund Examination Priorities"},"content":{"rendered":"

\"survey\"<\/a>New York (HedgeCo.Net) – The SEC has published its 2014 NEP examination priorities for\u00a0hedge funds, private equity funds,\u00a0investment advisers and other self-regulated organizations.<\/p>\n

Priorities specific to hedge funds:<\/strong><\/p>\n

    \n
  1. Annual exams mandated by the Dodd-Frank Act;<\/li>\n
  2. The NEP will continue its assessment of funds offering \u201calternative\u201d investment strategies, with a particular focus on: leverage, liquidity and valuation policies and practices;<\/li>\n
  3. the staffing, funding, and empowerment of boards, compliance personnel, and back-offices; and<\/li>\n
  4. the manner in which such funds are marketed to investors. The staff will additionally review the representations and recommendations made regarding the suitability of such investments.<\/li>\n<\/ol>\n

    The priorities listed for 2014 were selected based on a variety of information and risk analytics, including tips, complaints and referrals, including from whistleblowers and investors.<\/p>\n

    Other priorities include:<\/strong><\/p>\n