SEC Examination and Enforcement Update for Investment Advisers

This course will speak to how the examination and enforcement culture has changed at the SEC, the new types of SEC exams, and how firms can prepare for them. Sample document request lists will be provided to review specific requested documents for different types of firms.

Our expert presenters will address:

• SEC’s Latest Examination and Enforcement Priorities
• Projected Increase in Frequency of Examinations
• Increasing the number of examiners
• The role of Big Data in the examination process
• Steps firms can take before, during and after an exam to improve exam outcomes

Examiners are skeptically probing in new areas, interviewing additional people, asking different questions, and have expanded the scope of requested documents and reports. Legal and industry experts will detail the examination process from the unexpected first notice to the final follow-up, and explain how strong internal controls that are put in place now can help your firm be prepared on short notice for these tougher examinations. Understand what the SEC is looking for and how to manage the examination once the SEC is onsite. Additional topics to be covered include the firm’s rights during the examination process, common problems the SEC encounters during examinations, and effective strategies for dealing with deficiencies found during an examination.