What to do When the SEC Auditor Calls
With the Securities and Exchange Commission in the public spotli
With the Securities and Exchange Commission in the public spotlight, registered investment advisers are feeling the heat in the form of more intense SEC examinations. Our panel — an adviser who recently experienced an audit, a Washington attorney who leads his firm’s investment management practice group, and a leading compliance consultant — will discuss what the agency is looking for now, how best to avoid problems and how to prepare for an audit.
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