Washington, D.C. Special Matters partner Alec Koch was a featured speaker at the PLI Hedge and Private Fund Enforcement & Regulatory Development 2016 Seminar on Dec. 1 in New York. Mr. Koch’s SEC Inspections and Examinations of Private Equity and Hedge Funds panel covered the following topics:
• SEC’s Private Funds Unit – new investigative techniques, recent findings and areas of focus
• Focus on Section 204A compliance – prevention of misuse of non-public information
• Coordination between OCIE, Enforcement and Investment Management during the exam and afterwards
• Tips for surviving an OCIE exam – before, during and after
• Examination focus on valuation issues
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