Nobody likes a pop quiz for which they didn’t study. But since the SEC exam is expected, let it be your firm’s opportunity to shine. This is your moment to explain your firm’s business and operations, and to validate the compliance function at your firm through your efforts to craft a robust compliance program. Hear from our consultants why the arrival of SEC examiners need not be cause for trepidation and concern, as they provide helpful tips to not only survive an SEC exam, but to master the examination process.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- New Form ADV: What you need to know to file your Annual Updating Amendment
- Due Diligence of Sub-Advisers and Other Third-Parties
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
Recent ComplianceCast™ Minutes