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Ian Roffman moderates discussion about SEC examinations of hedge funds at GAIM Regulation

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02.04.2014

Ian Roffman, a partner in the firm’s Securities Enforcement and Litigation practice group, served as moderator of a discussion about SEC examinations of hedge funds at GAIM Regulation on February 4 in New York City. Ian, along with George DeAngelis, Assistant Regional Director of the SEC’s Office of Compliance, Inspections, and Examinations, discussed common areas of focus that arise in hedge fund exams, examination priorities for hedge fund advisors, and other issues that hedge fund advisors should be aware of in 2014. GAIM Regulation is an event that brings together regulators, compliance officers, compliance consultants and law firms in order to assist private fund managers acquire best practices for complying with regulatory requirements and prepare for examinations.

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