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October 2016

Impending SEC Initiatives Mandate Regulatory Enterprise Risk Management Policies and Procedures

The registered fund industry faces challenging new regulatory burdens over the next couple of months. Consistent with its private fund transparency focus, the SEC has set its sights on enhancing its scrutiny of registered investment companies (RICs).
BDO’s Gary S. Kaminsky addresses the impending SEC initiatives and says a prerequisite for addressing these new challenges is a commitment to the development, implementation and maintenance of regulatory enterprise risk management (“Regulatory ERM”).