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SEC's Examination Program Issues a Risk Alert on Investment Adviser Due Diligence Processes
Sutherland Asbill & Brennan LLP Link to more items from this source
Feb. 2, 2014
"The Risk Alert indicated that the Staff's observations were based on more than 10 examinations of SEC-registered investment advisers to pension plans and funds of private funds. The Staff noted that it did not examine commodity pools or registered investment companies. Also, the Risk Alert did not address the due diligence practices of advisers directly managing alternative investments. Rather, it focused on advisers selecting those underlying managers. Thus, in light of the limitations on the Risk Alert's scope, it should be seen as applying to a specialized market segment: advisers making discretionary investments in alternative products managed by other advisers."

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