SEC’s Norm Champ talks compliance
Richard L. Cassin
September 15, 2014
Norm Champ, the director of the SEC’s division of investment management, was in New York City Thursday. He spoke to the Practising Law Institute’s annual hedge fund management seminar.
The 2010 Dodd-Frank Act directed the SEC to make rules “designed to enhance the oversight of private fund advisers, including registration of advisers to hedge funds, private equity funds, and other private funds that were previously exempt from SEC registration.” … Continue Reading