SEC Examinations: Survival Strategies in a Changing Environment
3:30 PM – 5:30 PM
Wednesday, October 10
Mark Perlow, Robert Stirling
The number of enforcement cases brought by the SEC against advisers and funds has doubled in recent years. It is more important than ever for you to demonstrate to SEC examiners that you have a strong supervisory system in place. This workshop will give you practical knowledge on preparing for, going through and following up on an SEC examination, paying close attention to recent developments in the examination process. Even if your firm has been examined in recent years, you will want to attend this workshop.
Back to the Agenda