Examiners turn up the heat
The “What to Do When the SEC Examiner Calls” webcast was held May 25 in New York.
The “What to Do When the SEC Examiner Calls” webcast was held May 25 in New York.
The panelists were compliance attorney Steven Stone, Gary Watkins, whose firm consults with advisory firms on compliance issues, and Frank Ortner, whose firm recently underwent an SEC audit.
InvestmentNews deputy editors Evan Cooper and Frederick P. Gabriel Jr. were the moderators.
Click here to read the edited transcript of the webcast. To listen to the discussion, go to InvestmentNews.com/secexam.
Learn more about reprints and licensing for this article.
