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SEC Examinations of Investment Advisers – Large Firm

October 26, 2020
12:45 PM - 2:00 PM CDT
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Course Description:

Your firm is now not only large, but dispersed among offices, branch offices, houses, apartments, summer homes, parents’ homes, etc. Even so, you’re still responsible for obtaining (and, as possible, reviewing) large amounts of data, ensuring that procedures are complete and current, coordinating ongoing interview and document requests, and more. This session will examine the strategic planning required for a successful examination in today’s environment, along with best practices for working with and responding to the examiners while on-site, and managing the (sometimes laborious) post-examination process.

Learning Objectives

After attending this session, attendees should be able to:

  • Identify and deploy the key members of your document production team now
  • Increase your ability to address any unanticipated findings or concerns arising during the exam
  • More effectively interact with examiners and speed the exam process along

This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.

Jahan Rassi
Jahan Raissi
PartnerShartsis Friese LLP

Jahan P. Raissi, of Shartsis Friese LLP, is a partner of the Firm and Co-Chair of the Firm’s Securities Enforcement Defense Group. Before joining the Firm, Mr. Raissi was a Senior Counsel in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C. While at the SEC, he handled investigations and litigation in both federal court and administrative forums, including cases involving accounting irregularities, auditor misconduct, internal corporate controls, public company disclosures and periodic reports, insider trading, securities offerings, market manipulation, and broker-dealer and investment adviser regulation. Mr. Raissi coordinated matters with federal and state criminal prosecutors, foreign regulatory agencies, and self-regulatory organizations such as FINRA.

In private practice, Mr. Raissi has represented boards, officers, directors and entities before federal and state securities regulators, before self-regulatory organizations and in private securities litigation. He has extensive experience with investigations involving public company accounting and reporting issues, insider trading, as well as those involving investment advisers, hedge funds and broker-dealers. He has been involved in hundreds of matters involving public companies, auditors, venture capital and private equity, investment advisers, hedge funds, investment companies and broker-dealers. His principal areas of practice are SEC enforcement matters, DOJ/US Attorney investigations, securities litigation, internal investigations and regulatory compliance.

While at the SEC, Mr. Raissi was the Division of Enforcement’s 1995 nominee for the Manuel F. Cohen award for outstanding contribution by a Commission member. He is a member of the Association of Securities and Exchange Commission Alumni, the Bar Association of San Francisco, and the Association of Business Trial Lawyers. Mr. Raissi also serves on a number of committees for legal and industry groups.

Mr. Raissi received his B.A. degree from the University of California at Santa Cruz and his law degree with honors from the University of California, Hastings College of the Law.

Kevin Turton
Kevin Turton

Kevin is a Consultant with NRS in the Investment Adviser Services Department, and he is based in our New York City branch office. Kevin also delivers comprehensive compliance solutions to various types of investment management firms including separately managed account advisers, mutual fund advisers and private fund advisers, including hedge funds, private equity funds, venture capital funds and real estate funds.

Kevin earned his Juris Doctor degree from Brooklyn Law School in 2012. He is a member of the New York State Bar.

After graduating from law school, Kevin served as Chief Operating Officer of another leading compliance consulting firm based in New York City. During his tenure there, Kevin hired, trained and oversaw the firm’s team of consultants while ensuring quality control and increasing operational efficiency. Kevin also performed consulting services for key clients.

Before attending law school, Kevin entered the financial services industry as a Financial Advisor and formerly held Series 7 and Series 66 licenses while he was with UBS Financial Services and MetLife Financial Services.

Kevin is an alumnus of The Hotchkiss School and The City College of the City University of New York.

For Whom: or Designed to increase the professional competence of Investment Advisers.

Suggested Skill Level: Advanced

Maximum Recommended Credit Hours for this session will include CLE, IACCP® and CPE .

CA MCLE = 75 minutes
IACCP® = 75 minutes
CPE = 75 minutes

For more information, check out the NRS Continuing Education Guide.