SEC Examination Walkthrough: How you and your staff can prepare for surprise inspections

Conference Speakers

Our panel of experts will give you the insight and best practices to help you prepare for your firm's next SEC Exam:

K. Shane Breffitt, branch chief, SEC’s Office of Investment Adviser/Investment Company Inspections

Robert Tull, senior consultant, SEC Compliance Consultants, Inc.

David Lui, chief compliance officer, FAF Advisors

J. Christopher Jackson, general counsel and senior vice president, Hansberger Global Investors, Inc.

100% Money-Back Guarantee

If you do not get the guidance you need regarding the SEC Examination Walkthrough, we’ll refund your entire fee. 100% Guaranteed!

Sponsor

This SEC Examination Walkthrough audio conference is sponsored by IA Week, the nation’s leading provider of practical guidance and regulatory advice to compliance professionals in the advisory industry.

Use as a Reference Tool
for Your Entire Staff!

• Chief Compliance Officers
• Compliance Managers
• General Counsel
• Senior Managers

For compliance officers, there’s no bigger task than preparing for an SEC examination. And there’s no bigger nightmare than failing to turn over the requested documents on time.

Both John Walsh and Lori Richards at the SEC’s Office of Compliance Inspections and Examinations have said that the Commission is trying to be more open about its examinations, including giving firms status reports within 120 days of an exam. But for many firms, SEC exams are still a frightening occurrence.

This 90-minute CD will help you prepare for your next SEC exam, as well as train to improve compliance even when an exam is far off in the future. This isn’t just for compliance officers – all your staff can benefit by learning how to interact and respond to SEC inquiries.
The top-notch speaker panel includes SEC branch chiefs, former examiners and CCOs whose firms have recently gone through examinations.

They will teach you:

What recent SEC sweeps have found, and where the Commission may be looking next;
What’s on the horizon in exams: identity theft, soft dollars and other areas where the SEC may focus in the future;
How to reconcile what factors your firm considers “high risk” with the SEC;
Key areas in current document request letters, and how to best assemble documents to appease SEC examiners;
Tips on how to conduct a mock audit of your firm, including how to improve document retrieval turnaround and your staff’s interview skills;
The benefits of firm-wide training … that includes even senior management;
Ways to use the exit interview to your advantage, including finding out what deficiencies the SEC found;
And much more.