Simpson Thacher Attorneys Author Article on SEC Examinations Targeting Interval Funds and BDCs
Partners Justin Browder and Anne Choe, and Associate Anna Goodnight authored an article titled, “Recent SEC Examinations Target Interval Funds and Business Development Companies,” which was published by The Investment Lawyer. The article discussed a recent SEC examination initiative focused on interval funds and BDCs. The article outlined the primary topics included in SEC examination requests and provided an analysis of key substantive themes that have emerged, in addition to discussing how regulated fund sponsors should treat the themes as a roadmap for self-assessment and take proactive steps to enhance compliance structures accordingly.
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