SEC Exam Survival Guide

Prepare in 12 Steps

The SEC can conduct an exam of a registered investment adviser at any time, for any reason, announced or unannounced. But are you prepared? Compliance deficiencies can result in fines or other action, and can even land a firm on the SEC’s watch list for greater scrutiny.

Written in conjunction with leading SEC compliance consulting firm Focus 1 Associates, this white paper will help you understand what brings the SEC to your door.