Article

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.

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