SEC Update: Exam Priorities and New Reporting and Compliance Obligations for Registered Investment Advisors
Chris Mulligan, investment advisor/private fund senior adviser and co-coordinator of the Private Funds Specialized Working Group in the SEC’s Division of Examinations. Chris will discuss private fund adviser examination priorities and the recent amendments to Form PF.
The recent amendments have materially enhanced the reporting obligations for registered investment advisers who are required to report on Form PF.
Chris Mulligan, Investment Adviser/Private Fund Senior Advisor and Co-coordinator of the Private Funds Specialized Working Group in the SEC's Division of Examinations
- July 12, 2023
- 12:00 PM
- 1:00 PM
- Virtual Participation
- Committee on Continuing Legal Education
- Business Law Section
- Private Investment Funds Committee
- Securities Regulation Committee