Investment advisers must be cognizant that Securities and Exchange Commission (SEC) regulatory examinations are an inevitable part of their lives. Over the past five years, exams have become more prosecutorial, and examiners have embraced an increasingly adversarial approach when examining investment advisers. To aid advisers in navigating through this regulatory environment, Blue River examined regulatory events and authored an article discussing various aspects of the examination process. The article concludes with advice for handling examinations in light the current regulatory environment.
For support on your next regulatory exam contact us at email@example.com or 469-518-1770.
Blue River Partners, LLC provides a variety of outsourced solutions to Hedge Funds, Private Equity Firms, Registered and Exempt Investment Advisers (IAs), Registered Investment Companies (RICs), Commodity Pool Operators (CPOs), Fund of Funds, Family Offices, and others across the entire spectrum of structures, strategies, and asset classes.
Headquartered in Dallas, with satellite offices in Houston, New York, Chicago, and San Francisco; Blue River is predominantly comprised of experienced Attorneys and CPAs at the management level who have joined us from their prior roles as CCOs, CFOs, COOs, and General Counsel at numerous large and complex alternative and traditional investment entities.