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SEC Sends Message to Private Fund Sponsors on Audit Obligations Under Custody Rule Through Enforcement Actions | Goodwin

​​​​​​​On September 9, 2022, the SEC announced settlements with nine SEC-registered investment advisers to private funds with respect to alleged violations of Rule 206(4)-2 under the...
Ridgeview Asset Management Partners Polaris Equity Management Inc Garrison Investment Group Division Of Examinations Janus Henderson Investors Steward Capital Management Inc

SEC Sends Message To Private Fund Sponsors On Audit Obligations Under Custody Rule Through Enforcement Actions - Securities

The SEC Division of Examinations had previously indicated that compliance with the annual audit exemption would be an examination priority this year.
Ridgeview Asset Management Partners Polaris Equity Management Inc Garrison Investment Group Division Of Examinations Janus Henderson Investors Steward Capital Management Inc
Source: mondaq.com

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