Preparing for and Managing an SEC Examination of a Registered Investment Adviser

Review of Securities & Commodities Regulation

06 Oct 2021

Morrison & Foerster counsel Kelley A. Howes outlines in this article the types of examinations the Division conducts and its 2021 examination priorities. She then provides recommendations how to prepare for an examination, handling the request, and managing the examination. She adds notes on exit interviews and examination summary letters, and concludes with a reminder of the importance of a culture of compliance.

View the full article.



Unsolicited e-mails and information sent to Morrison & Foerster will not be considered confidential, may be disclosed to others pursuant to our Privacy Policy, may not receive a response, and do not create an attorney-client relationship with Morrison & Foerster. If you are not already a client of Morrison & Foerster, do not include any confidential information in this message. Also, please note that our attorneys do not seek to practice law in any jurisdiction in which they are not properly authorized to do so.