SEC “Never Before Examined” Preparation
On-Demand recording now available:
View this webinar to:
- Find out what documents you need to have ready
- Determine whether your documents are sufficient to meet the SEC’s request
- Identify red flags in your documents that could invite further scrutiny by the SEC
- Understand the different stages of an SEC examination and obtain step-by-step guidance on what to expect in each stage
- Get time saving solutions to prepare for an SEC examination and reduce your risk of corrective actions
The SEC is focusing its examination efforts on investment advisers who have been registered with the Commission for more than three years but have yet to be examined. If this describes your firm, you need to know how to prepare.
First and foremost the SEC will want to see proof that you as the Chief Compliance Officer are sufficiently knowledgeable and are fully empowered to administer your firm's compliance program. To make this assessment, examiners begin by requesting specific documents from you and your firm. Providing these documents completely, correctly and quickly will create a strong first impression and set the stage for the rest of your SEC examination.
Being prepared is easy. If you already have a compliance program in place you can test the soundness of your compliance program by conducting a Mock SEC Examination. Our mock exam will evaluate the ability and preparedness of your firm’s key personnel, processes and records to determine if your firm’s commitment to compliance is enough to ensure a successful outcome when next examined.
This is an on-demand version of a live webinar recorded on September 12, 2014.