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SEC Examinations of Investment Advisers – Small Firm
Document requests for SEC examinations typically do not distinguish between large and small advisers – when the SEC announces its visit, you may receive the same requests as firms 10 times your size. Smaller firms need to be able to analyze SEC requests quickly and clearly identify those requests that apply to your firm. Moreover, as remote exams have become the norm during the pandemic, smaller firms need to be able to respond to multiple document requests quickly and accurately, and with a minimum of disruption to the firm. The key? Preparation! This session will identify proven techniques for getting your firm ready for your next or first exam and provide guidance on how to best manage the examination process.
After attending this session, attendees should be able to:
- Develop a pre-examination strategy
- Employ existing document request lists to predict what the SEC may ask
- Effectively use limited resources in managing the examination process
This virtual course is being taught as part of the Fall 2020 Compliance Conference. To learn more, visit our main conference webpage.
Co-Editor, Modern Compliance
David Lui is the Co-Editor of Modern Compliance: Best Practices for Securities & Finance – the industry’s most widely distributed book on Securities Compliance.
He has been Chief Compliance Officer for some of America’s largest investment Advisors, including Charles Schwab Investment Management, Franklin Advisers, U.S. Bancorp Asset Management and an investment advisory subsidiary of Wells Fargo.
He was Chair of the National Society of Compliance Professionals and is currently a Principal of an $88 billion investment advisor in Minneapolis, Minnesota. He is admitted to practice in both California and Minnesota.
Amber joined NRS in 2014 as a Consultant in Investment Adviser and Broker-Dealer Services. Amber provides consulting services on a wide variety of regulatory issues regarding the Investment Advisers Act, FINRA Rules and other federal and state regulations and delivers comprehensive compliance solutions to investment advisers and broker-dealers in the US and UK.
Amber has over 25 years of wide-ranging experience in the financial services industry including compliance, supervision, trading, operations, training, management, and development. Immediately prior to joining NRS, Amber was Director of Network Office Supervision with Northwestern Mutual for twelve years.
Amber earned her Bachelor of Arts degree in Economics from Vanderbilt University, her Juris Doctor degree from the Indiana University’s Robert H. McKinney School of Law, and is a member of the Indiana state bar. She holds the CLU®, ChFC®, and CFP® designations as well as the Certified Regulatory and Compliance Professional (CRCP™) designation from the Wharton School’s FINRA Institute. She regularly speaks at conferences and webinars and writes on topics related to the financial industry.
For Whom: 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.