Tarik M. Shah counsels private funds on compliance with the Investment Advisers Act of 1940, other state and federal requirements and interfacing with regulators. Tarik’s experience includes providing guidance to clients on establishing compliance policies and procedures, registering with the SEC and handling SEC examinations.

Prior to joining the firm, Tarik worked at the SEC, most recently in the Private Funds Unit of the Office of Compliance Inspections and Examinations, where he focused on regulatory examinations of advisers to hedge funds and private equity funds. Tarik also worked in the SEC’s New York Regional Office, where he conducted regulatory examinations of registered investment advisers and registered investment companies.

Publications

SEC Examinations: What Private Fund Managers Can Expect in 2022, SRZ Alert, April 19, 2022

United States, The Private Equity Review, April 2022

SEC Proposes Cybersecurity Risk Management, SRZ Alert, Feb. 10, 2022

“SEC Seeks to Shorten the Standard Settlement Cycle to T+1,” SRZ Alert, Feb. 10, 2022

SEC Proposes New Rules for Private Fund Managers, SRZ Alert, Feb. 9, 2022

SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny, Harvard Law School Forum on Corporate Governance, Feb. 2022

SEC Identifies Private Fund Deficiencies, Signifying Increased Industry Scrutiny, SRZ Alert, Jan. 31, 2022

“SEC Focus on Private Fund Valuation Practices,” Reuters Westlaw, May 11, 2021

Securities Enforcement Quarterly, SRZ Publication, April 2021

“SEC Examinations Update: 2021 Examination Priorities,” SRZ Alert, March 4, 2021

“Recent Short Squeezes,” SRZ Alert, Jan. 28, 2021

Performance Testing Guide for Private Fund Managers,” Bloomberg Law, July 2020

“SEC Form CRS: OCIE Announces Examination Focus,” SRZ Alert, April 10, 2020

“The SEC’s Focus on Value-Added Investors,” The Hedge Fund Journal, September 2019 (co-author)

Prior Experience

  • U.S. Securities and Exchange Commission, 2015-2017
  • Constellation Advisers LLC, 2014-2015
  • Goldman Sachs & Co., 2013-2014