Preparation is the key to a successful SEC examination. Is your firm prepared? Do you know some of the curveball questions the examiners may use during the initial examination interview, or ways you can try to reduce the document production burden? Are you ready for questions about your technology and operations? Ascendant consultants Eugenie Warner and Linda Noyes discuss these and more during this second installment of our two part recap of Ascendant’s 2013 Spring Compliance Conference.
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- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
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